ESMA LIBRARY
REFINE YOUR SEARCH
Sections
- (-) Remove MiFID - Secondary Markets filter MiFID - Secondary Markets
- (-) Remove CESR Archive filter CESR Archive
- (-) Remove Credit Rating Agencies filter Credit Rating Agencies
- (-) Remove Corporate Disclosure filter Corporate Disclosure
- (-) Remove International cooperation filter International cooperation
- (-) Remove Supervisory convergence filter Supervisory convergence
- (-) Remove Short Selling filter Short Selling
- (-) Remove Crowdfunding filter Crowdfunding
- (-) Remove Speeches filter Speeches
- Securities and Markets Stakeholder Group (138) Apply Securities and Markets Stakeholder Group filter
- Post Trading (123) Apply Post Trading filter
- Corporate Information (100) Apply Corporate Information filter
- Joint Committee (86) Apply Joint Committee filter
- Fund Management (69) Apply Fund Management filter
- Board of Supervisors (61) Apply Board of Supervisors filter
- MiFID - Investor Protection (56) Apply MiFID - Investor Protection filter
- Risk Analysis & Economics - Markets Infrastructure Investors (50) Apply Risk Analysis & Economics - Markets Infrastructure Investors filter
- CCP Directorate (49) Apply CCP Directorate filter
- Planning reporting budget (48) Apply Planning reporting budget filter
- Management Board (44) Apply Management Board filter
- Sustainable finance (39) Apply Sustainable finance filter
- Warnings and publications for investors (38) Apply Warnings and publications for investors filter
- Securitisation (34) Apply Securitisation filter
- Innovation and Products (33) Apply Innovation and Products filter
- European Single Electronic Format (29) Apply European Single Electronic Format filter
- Benchmarks (23) Apply Benchmarks filter
- Market Abuse (22) Apply Market Abuse filter
- Market Integrity (19) Apply Market Integrity filter
- Procurement (18) Apply Procurement filter
- Trading (18) Apply Trading filter
- Corporate Finance (16) Apply Corporate Finance filter
- Trade Repositories (16) Apply Trade Repositories filter
- Prospectus (15) Apply Prospectus filter
- ESMA newsletter (14) Apply ESMA newsletter filter
- IFRS Supervisory Convergence (13) Apply IFRS Supervisory Convergence filter
- Careers (12) Apply Careers filter
- Transparency (12) Apply Transparency filter
- Guidelines and Technical standards (11) Apply Guidelines and Technical standards filter
- Securities Financing Transactions (9) Apply Securities Financing Transactions filter
- Brexit (7) Apply Brexit filter
- Market data (7) Apply Market data filter
- Press Releases (6) Apply Press Releases filter
- Corporate Governance (4) Apply Corporate Governance filter
- ITMG (4) Apply ITMG filter
- Board of Appeal (3) Apply Board of Appeal filter
- COVID-19 (2) Apply COVID-19 filter
- IAS Regulation (2) Apply IAS Regulation filter
- MiFID II: Transparency Calculations and DVC (2) Apply MiFID II: Transparency Calculations and DVC filter
- Audit (1) Apply Audit filter
- Vacancies (1) Apply Vacancies filter
Type of document
- (-) Remove Reference filter Reference
- (-) Remove Q&A filter Q&A
- (-) Remove Technical Advice filter Technical Advice
- (-) Remove SMSG Advice filter SMSG Advice
- Press Release (395) Apply Press Release filter
- Final Report (368) Apply Final Report filter
- Letter (283) Apply Letter filter
- Consultation Paper (270) Apply Consultation Paper filter
- Speech (194) Apply Speech filter
- Opinion (129) Apply Opinion filter
- CESR Document (112) Apply CESR Document filter
- Statement (87) Apply Statement filter
- Guidelines & Recommendations (83) Apply Guidelines & Recommendations filter
- Report (46) Apply Report filter
- Decision (34) Apply Decision filter
- Annual Report (27) Apply Annual Report filter
- Technical Standards (16) Apply Technical Standards filter
- Compliance table (11) Apply Compliance table filter
- CLOSED Procedure (7) Apply CLOSED Procedure filter
- Vacancy (2) Apply Vacancy filter
Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
---|---|---|---|---|---|---|---|---|---|
24/08/2007 | VDP | VDP response | CESR Archive | Reference | PDF 129.3 KB |
||||
20/07/2022 | SSR sanctions | Administrative measures and sanctions applicable in Member States to infringements of the Short Selling Regulation (SSR) | Short Selling | Reference | PDF 372.65 KB |
||||
24/08/2007 | SP | S&P response | CESR Archive | Reference | PDF 587 KB |
||||
23/03/2001 | ResolutionStockholm | Stockholm Resolution | CESR Archive | Reference | PDF 18.53 KB |
Resolution of the European Council on more effective securities market regulation in the European Union Stockholm, 23 March 2001 | |||
24/08/2007 | NVB-CRA | NVB response | CESR Archive | Reference | PDF 35.34 KB |
||||
04/08/2022 | Net short thresholds | Net short position notification thresholds for sovereign issuers | Short Selling | Reference | XLSX 26.41 KB |
According to Article 7(2) of the Short Selling Regulation, ESMA has to publish a list of the thresholds applicable to the sovereign issuers for the purpose of the notification to competent authorities of significant net short position in sovereign debt. The way these notification thresholds are defined is further specified in the Commission Delegated Regulation No 918/2012 (the “DR”). The DR specifies that initial threshold categories shall be: The additional incremental levels shall be set at 50% of the initial thresholds. The reporting thresholds shall be monetary amounts fixed by applying the percentage thresholds to the outstanding sovereign debt of the sovereign issuer. They will be revised and updated quarterly to reflect changes in the total amount of outstanding sovereign debt of each sovereign issuer. In addition, the DR states that the amount of outstanding debt should be calculated using a duration adjusted approach. ESMA has published a Q&A document on how to proceed for the duration adjustment. The table of thresholds contains the name of the sovereign issuer, the amount of outstanding debt duration adjusted, the initial threshold amount and the relevant percentage, the incremental threshold amount and the relevant percentage. Please note that the figures of the amount of outstanding debt are duration adjusted (not nominal amounts) and are approximations provided by competent authorities. |
|||
19/07/2012 | MOU SFC ESMA | MOU on the supervision of CRAs- ESMA and SFC Hong Kong | Credit Rating Agencies, International cooperation | Reference | PDF 497.63 KB |
||||
19/07/2012 | MOU SEC ESMA | MOU on the supervision of CRAs- ESMA and SEC | Credit Rating Agencies, International cooperation | Reference | PDF 306.87 KB |
||||
10/07/2014 | MOU IFRS ESMA | IFRS Foundation and ESMA statement of protocols for cooperation on International Financial Reporting Standards | Corporate Disclosure | Reference | PDF 123.58 KB |
||||
30/06/2016 | MOU FSB ESMA | MoU on the supervision of CRAs- ESMA and FSB South Africa | Credit Rating Agencies, International cooperation | Reference | PDF 504.28 KB |
||||
18/02/2013 | MOU ESMA/DFSA | MOU on the supervision of CRAs- ESMA and Dubai FSA | Credit Rating Agencies, International cooperation | Reference | PDF 181.09 KB |
||||
20/07/2017 | MoU ESMA SEBI | Previous MoU on CCPs between ESMA and SEBI | International cooperation, Post Trading | Reference | PDF 714.53 KB |
||||
05/03/2015 | MOU ESMA RBA | MoU between ESMA and RBA regarding trade repositories | International cooperation | Reference | PDF 134.04 KB |
The European Securities and Markets Authority (ESMA) and the Reserve Bank of Australia (RBA) have concluded a Memorandum of Understanding (MoU) that will allow RBA to have access to data held in European Trade repositories according to its mandate. The MoU is effective as of 18 February 2015.The ESMA-RBA MoU is the second cooperation arrangement established under Article 76 of the European Market Infrastructure Regulation (EMIR). This provision aims at ensuring that third-country authorities that do not have any trade repository in their jurisdiction may access the information on derivatives contracts held in European trade repositories which is relevant for their mandates. The MoU ensures that guarantees of professional secrecy exist. The first MoU of this kind was concluded in November 2014 between ESMA and the Australian Securities & Investments Commission (ASIC). | |||
19/07/2012 | MOU CNV ESMA | MOU on the supervision of CRAs- ESMA and CNV Argentina | Credit Rating Agencies, International cooperation | Reference | PDF 169.13 KB |
||||
19/07/2012 | MOU Canada ESMA | MOU on the supervision of CRAs- ESMA and Canadian authorities | Credit Rating Agencies, International cooperation | Reference | PDF 139.68 KB |
||||
19/07/2013 | MOU ACER ESMA | MoU between ESMA and ACER concerning the consultation and cooperation regarding their regulatory responsibilities in relation to EU wholesale energy market | MiFID - Secondary Markets | Reference | PDF 207.61 KB |
||||
24/08/2007 | MIS | Moody's response | CESR Archive | Reference | PDF 322.82 KB |
||||
03/03/2016 | Mifid mapping | Mapping- fields in MiFID systems | MiFID - Secondary Markets | Reference | XLSX 9.54 KB |
This document provides a mapping of the fields between the old MiFID database http://mifiddatabase.esma.europa.eu/ and the lists available on the Registers portal http://registers.esma.europa.eu/publication/ |
|||
13/04/2010 | MARKT G3/SH/cr Ares (2009) | Commission request for additional information from CESR in relation to the review of MiFID | CESR Archive | Reference | PDF 79.6 KB |
||||
16/08/2022 | Market makers - XLS | Market makers and authorised primary dealers who are using the exemption under the SSR- XLS | Short Selling | Reference | XLSX 40.1 KB |