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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
23/06/2015 2015/609 BG Насоки относно информацията, предоставяна периодично на ЕSMA от агенциите за кредитен рейтинг , Guidelines & Recommendations PDF
297.5 KB
BG  - Преводът е предоставен от Центъра за преводи за органите на Европейския съюз.
23/06/2015 2015/609 EL Κατευθυντήριες γραμμές σχετικά με την περιοδική πληροφόρηση που παρέχεται στην ESMA από τους οργανισμούς αξιολόγησης πιστοληπτικής ικανότητας , Guidelines & Recommendations PDF
338.39 KB
EL - Η παρούσα μετάφραση έγινε από το Μεταφραστικό Κέντρο των Οργάνων της Ευρωπαϊκής Ένωσης.
16/05/2019 ESMA34-45-712 Verena Ross- ICMA 2019 conference speech , , , Speech PDF
134.24 KB
22/09/2017 ESMA71-319-53 Verena Ross Keynote AFME Compliance and Legal Conference , Speech PDF
236.94 KB
05/02/2019 ESMA 70-155-7026 Use of UK data in ESMA databases in case of a no-deal Brexit , , Statement PDF
281.69 KB
07/10/2019 ESMA70-155-7658 Use of UK data in ESMA databases and performance of MiFID II calculations in case of a no-deal Brexit on 31 October 2019 , , Statement PDF
155.54 KB
07/10/2019 ESMA90-1-167 Update on the UK’s withdrawal from the European Union- preparations for a possible no-deal Brexit scenario on 31 October 2019 , , , Statement PDF
179.84 KB
04/04/2017 33-9-149 Update of the guidelines on the application of the endorsement regime under Article 4(3) of the Credit Rating Agencies Regulation Consultation Paper PDF
1.08 MB

Endorsement is one of two regimes provided in the CRA Regulation that allow credit ratings issued in a third country to be used for regulatory purposes in the EU – the other being equivalence/certification. Article 21(3) of the CRA Regulation requires ESMA to issue and update guidelines on the application of the endorsement regime specified under Article 4(3) of the same Regulation. This Consultation Paper proposes to update the previously issued 2011 Guidelines on Endorsement.
The proposed update of the 2011 Guidelines on Endorsement is mainly driven by the need to reflect the changes to Articles 6-12 and Annex I introduced by CRA 3, which will enter into force for the purposes of equivalence and endorsement on 1 June 2018. On that basis, ESMA has to update the Methodological Framework on which ESMA relies for assessing a third-country legal and supervisory framework for the purposes of endorsement and equivalence. This Methodological Framework is provided in Annex II of the 2011 Guidelines on Endorsement. By 1 June 2018, ESMA should also have completed a reassessment of all the previously assessed third-country legal and regulatory frameworks against the new requirements based on the updated Methodological Framework (provided in Annex III).


ESMA has taken this opportunity to reassess its approach to endorsement more broadly, based on the supervisory experience acquired since the adoption of the 2011 Guidelines on Endorsement. The proposed changes and clarification of the 2011 Guidelines on Endorsement focus in particular on ESMA’s understanding of points (b), (c), (d), and (e) of Article 4(3) of the CRA Regulation.
Furthermore, some parts of the 2011 Guidelines on Endorsement relate to the establishment of ESMA, the initial registration of CRAs and various transitional arrangements. The proposed updated Guidelines on Endorsement do not include these parts, as they are no longer relevant. Finally, some information in the 2011 Guidelines on Endorsement was not addressed to market participants but referred to ESMA’s internal processes. This information has also been excluded from the proposed updated guidelines on Endorsement, but is, for context, summarised in Section 4 of this Consultation Paper.
 

19/08/2013 OJ/06/08/2013 Travel Agency Services (New deadline for submission: 30/09/2013) CLOSED Procedure PDF
688.3 KB
Tender specifications Invitation letter Annex I Model contract Contract notice 2013/S 158-275078 Annex VII Financial proposal Annex X Questionnaire of professional capacities Annex XI Technical proposal Annex XII Mission Guide (ESMA) Annex XIII Mission Guide (EIOPA) Annex XIV Hotels ceilings Annex XVI Quality feedback form Q&A List 1 Q&A List 2 eNotices Corrigendum-2013-122902–F14-EN
08/08/2017 ESMA/2016/1452 TC Transaction reporting, order record keeping and clock synchronisation under MiFID II- track changes Guidelines & Recommendations PDF
4.75 MB
18/11/2013 OJ/06/11/2013-PROC/2013/007 Training services for ESMA (Deadline for submission: [UPDATED] new deadline 27/01/2014) CLOSED Procedure PDF
763.67 KB
Tender: Training services for ESMA New Deadline for submission: 27/01/2014 Invitation to tender (be updated deadline is 27/01/2014) Framework Service Contract with ESMA Contract notice Corrigendum – Change of Deadline Questions and Answers 1 Questions and Answers 2
30/04/2013 OJ/17/04/2013-PROC/2013/004 Training and e-learning services for ESMA — Deadline 3 June 2013 CLOSED Procedure PDF
574.86 KB
  Description of the contract The Authority intends to conclude framework contracts for the provision of: E-learning course catalogue (Lot 1)   And multiply framework contracts with reopening competition for: Development of an E-learning course (Lot 2) Blended learning courses in the domain of the financial markets and economics (Lot 3) Training courses in the domain of the financial markets and economics (Lot 4) Soft-skills development training related supervision and regulation (Lot 5)     Contract notice Annex I Model contract for Lot 1 Annex I Model contract for Lot 2,3,4 Q&A List 1 Q&A List 2 Q&A List 3 Q&A List 4
28/09/2015 2015/1468 Trading venue briefing , Reference PDF
304.63 KB
31/05/2018 ESMA71-99-996 Towards benchmark stability and integrity Speech PDF
164.02 KB
04/04/2016 2016/227 ToR SMSC Reference PDF
143.74 KB
04/04/2016 2016/221 ToR MDSC Reference PDF
116.48 KB
04/04/2016 2016/219 ToR CRA TC Reference PDF
204.41 KB
11/02/2016 2016/210 ToR CDTF Reference PDF
134.83 KB
11/01/2018 ESMA80-196-954 Thematic Report- On fees charged by Credit Rating Agencies and Trade Repositories , Report PDF
1.14 MB
25/09/2000 00-064c The regulation of Alternative Trading Systems in Europe. A paper for the EU Commission Final Report PDF
84.28 KB
Alternative Trading Systems (ATS) offer electronic securities trading facilities outside the traditional trading channels. An expert group chaired by Howard Davies, Chairman of the UK FSA, has studied the impact of such systems in depth. The group has prepared a comprehensive report identifying and assessing the benefits and risks associated with the emergence of ATS and analysing the current regulatory treatment of such systems, within Europe and elsewhere. The report proposes both a short term and a long term option for a harmonised regulatory treatment of such systems in Europe.The paper was submitted to the European Commission as FESCO"s contribution to the preparation of the forthcoming Green Paper on possible amendments to the Investment Services Directive. The Green Paper will shortly be published as a basis for consultation with Member States, the financial services industry and other interested parties. However, the FESCO paper noted that, while the Green Paper on the ISD might be the catalyst for a far-reaching review of the regulatory approach to ATS, it would not provide a short-term solution. Accordingly, FESCO proposed that the short-term solution should take the form of a set of additional regulatory requirements for ATS operating as investment firms.FESCO will be working on proposals for what those additional regulatory requirements might be over the next six months, with a view to producing a consultation paper in the first half of 2001. This consultation paper will provide an opportunity for interested parties to comment in detail on the FESCO proposals. If, however, in the meantime interested parties have any specific comments on the possible additional regulatory requirements identified in paragraph 71 of the September paper, they should make these known to the Secretariat of FESCO via the following e-mail address: fdankers@europefesco.org

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