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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
05/01/2021 ESMA40-134-2458 Conflict of interests and ethics policy- ESMA staff Careers, Corporate Information Reference PDF
6.72 MB
20/06/2012 2012/378 Operation of notifications of MiFID Article 41 suspensions and removals of financial instruments from trading MiFID - Secondary Markets Reference PDF
353.3 KB		 This protocol has been created to ensure effective co-operation between Competent Authorities (CAs) with respect to their obligations under Article 41 of MiFID (Suspension and removal of in-struments from trading).The purpose of the notification obligations under Article 41 is to afford investors across all Mem-ber States the same level of protection regardless of where they trade. In order to achieve this outcome, a shared understanding of the different circumstances under which trading may be suspended in different Member States according to their national law and the expected course of action under Article 41 is helpful. To ensure trading is suspended or an instrument is removed from trading in an effective and timely way, an effective communication process is necessary.The protocol will be kept under review in light of practical experience.
25/07/2012 2012/478 ESMA MiFID database- description of webservice MiFID - Secondary Markets Reference PDF
123.71 KB		 This document provides useful information for developers wanting to use the webservice provided in ESMA's MIFID databases.
16/08/2012 2012/526 Announcement of roundtable on materiality in financial reporting- 1 October 12 IFRS Supervisory Convergence Reference PDF
100.21 KB
19/10/2012 2012/680 Links to national websites for the purpose of the notification of net short positions Short Selling Reference PDF
84.12 KB
31/10/2012 2012/718 Final annual accounts of ESMA for 2011 Planning reporting budget Reference PDF
841.35 KB
12/11/2012 2012/725 European common enforcement priorities for 2012 financial statements IFRS Supervisory Convergence Reference PDF
163.78 KB
03/10/2013 2013/1355 ESMA 2014 Work Programme Planning reporting budget Reference PDF
852.81 KB		 The European Securities and Markets Authority's (ESMA) 2014 Work Programme sets out ESMA’s planned activities and related budget for 2014.
12/11/2013 2013/1643 Cover Note- Public statement containing information on shareholder cooperation and acting in concert under the Takeover Bids Directive (ESMA/2013/1642) Corporate Disclosure, Corporate Governance Reference PDF
145.01 KB		 In accordance with its mandate to take appropriate action in the context of takeover bids as per Article 1.3 of Regulation (EU) 1095/2010 (ESMA Regulation), ESMA is releasing a public statement on shareholder cooperation and acting in concert under the Takeover Bids Directive (Directive 2004/25/EC). This statement has been prepared following the review and report by the European Commission on the application of the Takeover Bids Directive and is based on information collected about the practices and application of that Directive. The statement has been prepared in order to help shareholders identify activities in relation to which they can cooperate (insofar as those activities are available to them under national company law), without that cooperation, in and of itself, leading to a conclusion that the shareholders are acting in concert and thus being at risk of having to make a mandatory bid under the Takeover Bids Directive. These activities are presented in the statement in the form of a “White List”. The statement has been prepared by the Takeover Bids Network, a permanent working group operating under the auspices of ESMA that promotes exchange of information on practices and application of the Takeover Bids Directive across the European Economic Area, thereby strengthening a common supervisory culture. The Takeover Bids Network is a specialist group composed of the national competent authorities appointed under the Takeover Bids Directive. The competent authorities represented on the ESMA Board of Supervisors are not in all cases appointed as competent authorities within the Takeover Bids Directive. The authorities not represented on the Board of Supervisors but competent within the area of takeovers are the Austrian Takeover Commission, the Irish Takeover Panel, the Oslo Stock Exchange of Norway, the Takeover Panel of Sweden and the Takeover Panel of the United Kingdom. These five authorities have contributed to the public statement and will have regard to it in the same manner as the other members of the Takeover Bids Network when assessing whether shareholders are acting in concert under their national takeover rules.
02/12/2013 2013/1792 Call for expressions of interest regarding the establishment of the Consultative Working Group of the ESMA Market Data Reporting Working Group MiFID - Secondary Markets Reference PDF
98.24 KB		 Deadline for applications is 3 January 2014.
13/12/2013 2013/1928 Final annual accounts of ESMA for 2012 Planning reporting budget Reference PDF
2.65 MB
11/03/2013 2013/280 Vacancy notice- Chair of Committee drafting a proxy advising industry Code of Conduct Corporate Finance, Corporate Governance Reference PDF
102.91 KB
10/11/2016 2013/68c Protocol on the operation of ESMA MiFID Database final MiFID - Investor Protection, MiFID - Secondary Markets Reference PDF
333.11 KB
16/10/2013 2013/LCC/Recruitment ESMA Specific Privacy Notice – Selections and Recruitments Careers, Corporate Information Reference PDF
70.67 KB
20/08/2014 2014/1089 Final annual accounts of ESMA for 2013 Planning reporting budget Reference PDF
789.56 KB
20/08/2014 2014/1090 Report on Budgetary and Financial Management for 2013 Planning reporting budget Reference PDF
411.2 KB
23/02/2015 2014/1200rev 2015 Work Programme Planning reporting budget Reference PDF
392.74 KB		 The European Securities and Markets Authority (ESMA) has published its revised Work Programme for 2015. The revised programme, based on an approved budget of €33,601,402 and 137 Establishment Plan posts following the adoption of the EU Budget, sets out how ESMA intends to achieve its statutory objectives of investor protection and stable and orderly functioning markets through its operational activities of convergence, risk monitoring and analysis, the single rulebook and supervision.
06/11/2014 2014/1334 MiFID database- Contact emails of national competent authorities for market participants [updated] MiFID - Secondary Markets Reference PDF
138.29 KB

ESMA has established a list of national contacts, to which questions pertaining to the content of specific entries should be sent.  Please use this list to contact the relevant competent authority if you a have a query regarding shares which have been included in or ex-cluded from the list, the calculations for a specific entry or its status as liquid/not liquid.
04/02/2014 2014/140 ESMA budget for 2014 Planning reporting budget Reference PDF
104.86 KB
12/02/2014 2014/172 rev 1 2014 Regulatory Work Programme Planning reporting budget Reference PDF
83.79 KB

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