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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
28/09/2015 2015-ESMA-1464 Annex I 2015-ESMA-1464 Annex I- draft RTS and ITS on MiFID II and MiFIR MiFID - Secondary Markets Technical Standards PDF
2.85 MB
25/04/2017 ESMA22-106-196 Advice in response to JC Discussion Paper on the Use of Big Data by Financial Institutions Securities and Markets Stakeholder Group SMSG Advice PDF
144.22 KB
20/12/2013 2013/SMSG/017 Advice on Consultation Paper – Draft Regulatory Technical Standards on contracts having a direct, substantial and foreseeable effect within the Un-ion and non-evasion of provisions of EMIR Securities and Markets Stakeholder Group SMSG Advice PDF
27.43 KB
20/12/2013 2013/SMSG/018 Advice on Discussion Paper – The Clearing Obligation under EMIR Securities and Markets Stakeholder Group SMSG Advice PDF
46.94 KB
28/10/2011 2011/SMSG/13 Advice on ESMA's draft technical advice to the European Commission on possible implementing measures of the Alternative Investment Fund Man-agers Directive in relation to supervision and third countries Securities and Markets Stakeholder Group SMSG Advice PDF
88.23 KB
01/12/2011 2011/SMSG/18 Advice on ESMA's public consultation on UCITS Exchange traded funds in the European Union Securities and Markets Stakeholder Group SMSG Advice PDF
149.17 KB
28/02/2012 2012/SMSG/12 Advice on Guidelines on certain aspects of the MiFID compliance function requirements Securities and Markets Stakeholder Group SMSG Advice PDF
83.35 KB
28/02/2012 2012/SMSG/11 Advice on Guidelines on certain aspects of the MiFID suitability requirements Securities and Markets Stakeholder Group SMSG Advice PDF
138.1 KB
18/09/2015 2015/SMSG/026 Advice on Proxy advisors Securities and Markets Stakeholder Group SMSG Advice PDF
206.54 KB
11/11/2015 ESMA/2015/SMSG/031 Advice on sound remuneration under UCITS and AIFMD Securities and Markets Stakeholder Group SMSG Advice PDF
123.3 KB
17/07/2018 ESMA70-154-651 Application form- SMSC CWG Renewal 2018 MiFID - Secondary Markets Vacancy DOCX
37.81 KB
17/07/2018 ESMA70-154-652 Call for expressions of interest- SMSC CWG Renewal MiFID - Secondary Markets Vacancy PDF
263.08 KB
29/09/2014 2014/1187 Draft Regulatory Technical Standards on major shareholdings and an indicative list of financial instruments subject to notification requirements under the revised Transparency Directive Corporate Disclosure, Transparency Technical Standards PDF
810.07 KB		 The European Securities and Markets Authority (ESMA) has published its draft Regulatory Technical Standards (RTS) under the revised Transparency Directive relating to the notification of major shareholdings.
20/12/2013 2013/1970 Draft Regulatory Technical Standards on specific situations that require the publication of a supplement to the prospectus Prospectus, Corporate Disclosure Technical Standards PDF
713.74 KB		 The Final Report contains the draft Regulatory Technical Standard (RTS) on situations which require the publication of a supplement to the prospectus which ESMA is required to submit to the European Commission by 1 January 2014 in accordance with Article 16(3) of the Prospectus Directive. The Report furthermore includes a summary of the main responses received to ESMA’s Consultation Paper which was published in March 2013. The draft RTS sets out nine situations which are always considered to be significant in the context of securities issuance and where a supplement to the prospectus will always be required. Other situations would require a case-by-case assessment.
01/07/2015 2015/1014 Draft RTS on prospectus related issues under the Omnibus II Directive Corporate Disclosure Technical Standards PDF
949.89 KB
21/09/2018 esma70-156-769 ESMA opinion on MiFID II RTS 1 MiFID - Secondary Markets Technical Standards PDF
645.02 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
28/02/2017 ESMA70-872942901-21 - annex Final Draft RTS on packaged orders MiFID - Secondary Markets Technical Standards PDF
334.25 KB
11/12/2019 ESMA70-156-1535 Final Report amending ITS on main indices and recognised exchanges under CRR MiFID - Secondary Markets Technical Standards PDF
736.79 KB

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