ESMA LIBRARY

The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
103
DOCUMENTS

REFINE YOUR SEARCH

Sections

Type of document

Your filters
MiFID - Secondary Markets X European Single Electronic Format X Benchmarks X Fund Management X Prospectus X Q&A X Consultation Paper X
Reset all filters

Pages

Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
23/06/2015 JC/DC/2015/01 Technical Discussion Paper (DP) on the PRIIPs Key Information Document (KID) , Consultation Paper PDF
1.16 MB
EBA, EIOPA, and ESMA (the ESAs) welcome comments on this Technical Discussion Paper on Risk, Performance Scenarios and Cost Disclosures in Key Information Documents for Packaged Retail and Insurance-based Investment Products (PRIIPs). The discussion paper is available on the websites of the three ESAs. Comments on this discussion paper can be sent using the response form, via the ESMA website under the heading ‘Your input/Consultations’ by 17 August 2015. Contributions not received in Word, or sent to an email address, or after the deadline, will not be processed. It is important to note that although you may not be able to respond to each and every question, the ESAs would encourage partial responses from stakeholders on those questions that they believe are most relevant to them. Publication of responses All contributions received will be published following the close of the consultation, unless you request otherwise. A standard confidentiality statement in an email message will not be treated as a request for non-disclosure. A confidential response may be requested from us in accordance with the ESAs’ rules on public access to documents.  We may consult you if we receive such a request. Any decision we make not to disclose the response is reviewable by the Board of Appeal of the ESAs and the European Ombudsman. Data protection Information on data protection can be found on the different ESAs’ websites under the heading ‘Legal notice’.
20/12/2013 2013/1974 Revision of the provisions on diversification of collateral in ESMA’s guidelines on ETFs and other UCITS issues Consultation Paper PDF
202.22 KB
23/06/2015 JC/DP/2015/01 reply form Response form to joint Discussion Paper on PRIIPS , Consultation Paper DOCX
797.16 KB
21/02/2012 2012/113 Questions and Answers- A Common Definition of European Money Market Funds- updated February 2012 Q&A PDF
83.79 KB
The purpose of this document is to promote common supervisory approaches and practices in the application of the guidelines on a Common Definition of European Money Market Funds developed by CESR by providing responses to questions posed by the general public and competent authorities. The content of this document is aimed at competent authorities to ensure that in their supervisory activities their actions are converging along the lines of the responses adopted by ESMA. However, the answers are also intended to help management companies by providing clarity as to the content of CESR’s guidelines on a Common Definition of European Money Market Funds, rather than creating an extra layer of requirements.
21/11/2016 2016/1586 Questions and Answers on UCITS Directive Q&A PDF
454.07 KB
27/07/2021 ESMA31-62-1258 Q&As on the Prospectus Regulation Q&A PDF
814.87 KB
29/07/2021 ESMA70-145-114 Q&A on the Benchmarks Regulation (BMR) , Q&A PDF
534.4 KB
16/07/2021 ESMA34-43-392 Q&A on the application of the UCITS Directive Q&A PDF
722.03 KB
31/05/2016 2016/774 Q&A on the Application of the EuSEF and EuVECA Regulations Q&A PDF
212.93 KB
16/07/2021 ESMA34-32-352 Q&A on the Application of the AIFMD , Q&A PDF
688.52 KB
11/04/2019 ESMA31-62-780 Q&A on Prospectus Related Topics , , , , , , Q&A PDF
957.9 KB
20/07/2021 ESMA70-1861941480-56 Q&A on MiFIR data reporting , Q&A PDF
1.04 MB
29/05/2020 ESMA70-872942901-35 Q&A on MiFID II and MiFIR transparency topics Q&A PDF
1004.2 KB
27/03/2019 ESMA70-872942901-36 Q&A on MiFID II and MiFIR commodity derivatives topics Q&A PDF
602.38 KB
14/12/2017 ESMA70-151-957 MiFID II Q&A on post-trading issues , Q&A PDF
280.02 KB
18/12/2020 ESMA-70-156-2368 MiFID II Consultation Paper on Algorithmic Trading , Consultation Paper PDF
1.64 MB
23/12/2015 2015/1909 Guidelines on Transaction Reporting Reference Data Order Record Keeping and Clock Synchronisation Consultation Paper PDF
3.46 MB

The European Securities and Markets Authority's (ESMA) consultation paper seeks stakeholders’ views on the draft guidance on the application of the provisions of the ESMA RTS on transaction reporting, instrument reference data, order record keeping and clock synchronisation (RTS 22, 23, 24 and 25). This guidance complements the technical standards and will be essential for the consistent implementation of the new MiFIR rules.

Section 1 specifies individual scenarios applicable to a given transaction reporting activity. Each of the scenarios is accompanied with the precise technical formats and schema to be used to represent the specific reportable values. Section 2 specifies scenarios applicable to specific order record keeping activities. In addition to the reporting and record keeping scenarios, these sections also provide a number of other clarifications on the application of the requirements under the new technical standards which were requested by the market participants during the consultations on the MiFID II technical standards but could not be addressed in the final technical standards due to the level of detail and specificity of such requests. Section 3 provides clarifications on the application of the clock synchronisation requirements.

ESMA will consider the feedback it received to this consultation in Q2 2016 and expects to publish in the second half of 2016.

06/10/2016 2016/1440 Guidelines on the calibration, publication and reporting of trading halts Consultation Paper PDF
946.62 KB
23/07/2015 2015/1172 Guidelines on sound remuneration policies under the UCITS Directive and AIFMD Consultation Paper PDF
1.09 MB
Reasons for publication Article 14a(4) of Directive 2009/65/EC (“UCITS Directive”), as amended by Directive 2014/91/EU (“UCITS V Directive”) provides that ESMA shall issue guidelines addressed to competent authorities or financial market participants concerning the application of the remuneration principles set out under Article 14b of the UCITS Directive (“UCITS Remuneration Guidelines”). This consultation paper represents the first step in the development of the guidelines on remuneration policies required by the UCITS V Directive and sets out ESMA’s formal proposals for these guidelines. This consultation paper also proposes a targeted revision of the Guidelines on sound remuneration policies under the AIFMD (ESMA/2013/232) (“AIFMD Remuneration Guidelines”), which were published on 3 July 2013. Contents Section 2 explains the background to this document, while Section 3 explains the working method followed by ESMA while developing the draft guidelines. Sections 4 to 7 provide an overview of the content of the draft guidelines focusing on the main areas of difference between the requirements on remuneration under Directive 2011/61/EU (“AIFMD”) and UCITS V Directive. Annex I provides for a comparison table where the relevant UCITS V provisions on remuneration are marked up against the AIFMD provisions. Annex II sets out the list of questions contained in this paper. Annex III includes the draft cost-benefit analysis for the guidelines, while Annex IV sets out the text of the draft UCITS Remuneration guidelines and Annex V sets out the proposed amendment to the AIFMD Remuneration Guidelines. Next Steps ESMA will consider the feedback it receives to this consultation with a view to finalising the UCITS Remuneration Guidelines and publishing a final report by early Q1 2016, ahead of the transposition deadline for the UCITS V Directive (i.e. 18 March 2016). The final report is expected to also include the revision of the AIFMD Remuneration Guidelines which is proposed in the present paper. The consultation period will run until 23 October 2015.
19/12/2012 2012/845 Guidelines on key concepts of the AIFMD Consultation Paper PDF
698.69 KB

Pages