ESMA LIBRARY

The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
86
DOCUMENTS

REFINE YOUR SEARCH

Sections

Type of document

Your filters
MiFID - Secondary Markets X European Single Electronic Format X Guidelines and Technical standards X MiFID II: Transparency Calculations and DVC X Procurement X Trade Repositories X Prospectus X Decision X Technical Advice X CLOSED Procedure X
Reset all filters

Pages

Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
04/10/2011 2011/323 Final report- ESMA's technical advice on possible delegated acts concerning the Prospectus Directive as amended by the Directive 2010/73/EU Prospectus, Corporate Disclosure Technical Advice PDF
797.56 KB
01/03/2012 2012/137 ESMA’s technical advice on possible delegated acts concerning the Prospectus Directive as amended by the Directive 2010/73/EU Prospectus, Corporate Disclosure Technical Advice PDF
1.32 MB		 ESMA publishes today the second part of its final advice (ESMA/2012/137) on possible delegated acts for the Prospectus Directive (PD).  The advice was submitted to the Commission on 29 February 2012.  In its advice, ESMA proposes how to use a prospectus in a retail cascade and provides input on how to review the provisions of the Prospectus Regulation concerning tax information, indices, auditor’s report on profit forecasts and estimates and audited historical financial information. Today’s advice follows a public consultation started on 13 December 2011. Overall, the technical advice aims to achieve a high level of investor protection and to increase across Europe the legal clarity and efficiency of the prospectus regime. Investment prospectuses as such are aimed to provide investors with easily accessible information on financial products so as to foster in-formed decision-making.
09/01/2013 2012/864 ESMA’s technical advice on possible delegated acts concerning the Prospectus Directive as amended by the Directive 2010/73/EU Prospectus, Corporate Disclosure Technical Advice PDF
1.23 MB
19/12/2014 2014/1569 Technical Advice to the Commission on MiFID II and MiFIR MiFID - Investor Protection, MiFID - Secondary Markets Technical Advice PDF
2.8 MB		 Reasons for publication The European Securities and Markets Authority (ESMA) received a formal request (mandate) from the European Commission (Commission) on 23 April 2014 to provide technical advice to assist the Commission on the possible content of the delegated acts required by several provisions of Markets in Financial Instruments Directive (MiFID II) and the Markets in Financial Instruments Regulation (MiFIR). The mandate focuses on technical issues which follow from MiFID II and MiFIR and is available on the European Commission website (here). ESMA was required to provide technical advice by no later than six months after the entry into force of MiFID II and MiFIR (2 July 2014). Contents This final report follows the same structure as the Consultation Paper  (CP) published by ESMA on 22 May 2014 which is: (1) Introduction, (2) Investor protection, (3) Transparency, (4) Data publication, (5) Micro-structural issues, (6) Requirements applying on and to trading venues, (7) Commodity derivatives and (8) Portfolio compression. This paper also contains summaries of responses to the CP received by ESMA. The rationale of those items covered already in the CP for which no relevant changes have been introduced, is not developed again in this Final Report. ESMA recommends, therefore, to read this report together with the CP published on 22 May 2014 to have a complete vision of the rationale for ESMA’s technical advice. Next steps Delegated acts should be adopted by the Commission so that they enter into application by 30 months following the entry into force of the Directive and Regulation, taking into account the right of the European Parliament and Council to object to a delegated act within 3 months (which can be extended by a further 3 months).
20/01/2014 2014/45 Production of ESMA’s 2013 Annual Report Procurement CLOSED Procedure PDF
36.6 KB		 Description of required services / products ESMA is seeking a creative agency to produce its annual report for 2013 of approx. 100 pages. Description of Contract – Contract value and duration The production of EMSA’s annual report includes its layout, graphic design, printing and posting. The contract period is from February to June 2014. Companies are asked to state a total fixed price in Euro. Prices quoted must be exclusive of all taxes (ex-cluding VAT), shall be firm and not subject to revision. The total fixed price must include professional fees, travel and any subsistence costs. The indicative total budget for this assignment is: € 20,000 – 30,000. Selection criteria - Conditions for participation ESMA seeks an experienced graphic design company to layout and produce its ESMA’s annual 2013 re-port. The company should: be a communications/graphic design agency with a good knowledge in conceiving, designing and managing the production of (printed) reports; have proven experience in producing annual reports (ideally incl. for the public sector); be able to provide a project team that can communicate and review text in English; be physically available for at least two face-to-face meetings in Paris during the planning phase and if necessary further meetings during the production of the annual report; be able to react quickly and provide on-going support (via phone and/ or e-mail) throughout the project. How to obtain the full Invitation to Tender Should you be interested in participating in this tender, please request the full tender documentation by sending an e-mail with the tender reference to: Sabrina.Bellaouel@esma.europa.eu Date: 20 January 2014 ESMA/2014/45
31/03/2016 2016/408 Decision to adopt a supervisory measure taking the form of a public notice and to impose a fine in accordance with Statement of Findings in accordance with Articles 64(5), 65, 67 and 73 of Regulation (EC) No 648/2012 EMIR Trade Repositories Decision PDF
62.47 KB

Decision to adopt a supervisory measure taking the form of a public notice and to impose a fine in accordance with Statement of Findings in accordance with Articles 64(5), 65, 67 and 73 of Regulation (EC) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories

Public notice regarding negligent breach by DTCC Derivatives Repository Ltd of its legal obligation to ensure immediate access for regulators to data reported under EMIR

DTCC Derivatives Repository Ltd (‘DDRL’) is a trade repository registered in the European Union and is part of the DTCC group which includes a number of companies providing post-trading services to the global financial services industry. DDRL was registered by ESMA as a trade repository under Regulation (EU) No 648/2012 on OTC derivatives, central counterparties and trade repositories (‘EMIR’) on 7 November 2013. ESMA has responsibilities for the supervision and enforcement of provisions under EMIR concerning DDRL and other trade repositories registered in the EU.

In May 2014, ESMA’s supervisory team became aware of delays in providing regulators with access to data reported to DDRL under EMIR. Following further examination, the supervisory team formed the view that there were serious indications of the possible existence of facts liable to constitute one or more of the infringements listed in EMIR. The matter was accordingly referred to an independent investigation officer (the ‘IIO’). The IIO considered the evidence referred to him and conducted further investigations, before submitting his findings to ESMA’s Board of Supervisors (the ‘ESMA Board’).

Based on the findings of the IIO and the evidence put before it, the ESMA Board found on 23 March 2016 that an examination of the facts showed that DDRL had committed the following infringement under EMIR and had done so negligently. DDRL committed an  infringement of EMIR by not allowing regulators and supervisors direct and immediate access to the details of derivatives contracts they need to fulfil their responsibilities and mandates.
12/07/2021 ESMA41-356-187 Decision- DTCC Derivatives Repository Board of Supervisors, Trade Repositories Decision PDF
1.13 MB
23/09/2021 ESMA41-356-233 Decision- UnaVista Limited Trade Repositories Decision PDF
996.23 KB
24/03/2022 ESMA41-356-271 Decision of the Board of Supervisors to adopt supervisory measures and impose fines in respect of infringements committed by REGIS-TR, S.A Board of Supervisors, Trade Repositories Decision PDF
1.17 MB
12/12/2017 ESMA62-167-139 Avis d’appel à candidatures: Location de surfaces de bureaux ou autres locaux à usages de bureaux – Date limite 02/01/2018 Procurement CLOSED Procedure PDF
392.25 KB
01/10/2019 ESMA63-313-528 Financial Regulation of the European Securities and Markets Authority Management Board, Procurement Decision PDF
445.94 KB
06/11/2020 ESMA70-155-11210 Delegation third country TV post trade transparency Board of Supervisors, MiFID - Secondary Markets Decision PDF
124.97 KB
11/10/2018 ESMA70-155-5775 Delegation third country TV post trade transparency Board of Supervisors, MiFID - Secondary Markets Decision PDF
219.76 KB
11/10/2018 ESMA70-155-5905 Delegation_from_the_BoardofSupervisors_opinions on third country TV_PositionLimits Board of Supervisors, MiFID - Secondary Markets Decision PDF
222.28 KB
01/04/2020 ESMA70-156-2287 Technical Advice to the European Commission on weekly position reports under MiFID II MiFID - Secondary Markets, Supervisory convergence Technical Advice PDF
231.84 KB
15/02/2013 OJ/05/02/2013 -PROC/2013/001 Tender for Catering Services- deadline 25 March 2013 Procurement CLOSED Procedure PDF
644.31 KB		 Invitation to tender Contract notice Annex I Lot 1 Annex I Lot 2-3 Annex I Lot 4 Annex VII Lot 1 Annex VII Lot 2 Annex VII Lot 3 Annex VII Lot 4 Q&A List 1
17/12/2013 OJ/05/12/2013-PROC/2013/009 Consultancy Services (Deadline for submission: [UPDATED] new deadline 20/02/2014) Procurement CLOSED Procedure PDF
597.92 KB		 Consultancy – Invitation Letter (new deadline 20/02/2014) Tender Specifications (updated with track changes and new deadline) Consultancy Annex I Consultancy Annex VII Consultancy Annex X (updated with track changes) Consultancy Annex XII Consultancy Annex XIII (updated with track changes) Consultancy Questions and Answers 1 (Deadline updated) Consultancy Questions and Answers 2 (Deadline updated) Consultancy Questions and Answers 3 Consultancy Questions and Answers 4 Corrigendum to Contract Notice (Deadline Extension)
19/08/2013 OJ/06/08/2013 Travel Agency Services (New deadline for submission: 30/09/2013) Procurement 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
18/11/2013 OJ/06/11/2013-PROC/2013/007 Training services for ESMA (Deadline for submission: [UPDATED] new deadline 27/01/2014) Procurement 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
08/01/2013 OJ/11/12/2012-PROC/2012/007 ICT SYSTEMS SOFTWARE AND FUNCTIONAL MAINTENANCE SERVICES- Updates: new deadline 25/03/2013. More updates in the Tender specifications Procurement CLOSED Procedure PDF
700.79 KB		 Please check new details in Annex VII of the tender specifications Invitation letter Model contract Contract notice Non-disclosure agreement Annex VIIa Annex VIIa - example Annex X Annex XI Annex XII Annex XIII Q&A 1 Q&A 2 Q&A 3 Q&A 4 Q&A 5 Q&A 6 Q&A 7

Pages