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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
26/10/2010 10-1158 CESR comment letter regarding the IAASB consultation on the Exposure Draft on ISAE 3420, Assurance Reports on the Process to Compile Pro Forma Financial Information Included in a Prospectus CESR Archive, Audit Letter PDF
156.61 KB
10/12/2010 10-1353 CESR Comment letter to the IAASB regarding the Consultation on the proposed revisions to International Standard on Auditing (ISA) 315, Identifying and Assessing the Risks of Material Misstatement through Understanding the Entity and Its Environment, and CESR Archive, Audit Letter PDF
140.38 KB
04/01/2011 10-1541 3L3 Committees Joint Letter on the European Commission’s Green Paper on Audit: Lessons learnt from the Crisis Joint Committee, Audit Letter PDF
144.8 KB
04/01/2011 10-1541 Annex 1 3L3 Committees Joint Letter on the European Commission’s Green Paper on Audit: Lessons learnt from the Crisis- CESR annex Joint Committee, Audit Letter PDF
159.33 KB
04/01/2011 10-1541 Annex 2 3L3 Committees Joint Letter on the European Commission’s Green Paper on Audit: Lessons learnt from the Crisis- CEBS annex Joint Committee, Audit Letter PDF
120.57 KB
04/01/2011 10-1541 Annex 3 3L3 Committees Joint Letter on the European Commission’s Green Paper on Audit: Lessons learnt from the Crisis- CEIOPS annex Joint Committee, Audit Letter PDF
87.69 KB
20/01/2011 2011/16 Letter to the SEC- Rulemakings on Registration of non-resident Swap Data Repositories MiFID - Secondary Markets Letter PDF
30.66 KB
20/01/2011 2011/4 Letter to the CFTC- Rulemakings on Registration of foreign Swap Data Repositories and Foreign Boards of Trade MiFID - Secondary Markets Letter PDF
34.38 KB
25/10/2011 2011/353 Comment letter to the IAASB- IAASB Consultation Paper Audit Letter PDF
243.33 KB
28/10/2011 2011/SMSG/11 Response to ESMA's Consultation paper on guidelines on systems and controlsin a highly automated trading environment for trading platforms, investmentfirms and competent authorities Securities and Markets Stakeholder Group SMSG Advice PDF
48.99 KB
28/10/2011 2011/SMSG/12 Position paper- ESMA's Consultation on systems and controls in a highly automated trading environment for trading platforms, investment firms and competent authorities Securities and Markets Stakeholder Group SMSG Advice PDF
59.19 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
02/02/2012 2012/SMSG/6 Letter regarding deadlines for the submission of ESMA’s technical standards Securities and Markets Stakeholder Group SMSG Advice PDF
82.35 KB		 A letter from the ESMA Securities and Markets Stakeholder Group to Michel Barnier, Commissioner for Internal Market and Services, Sharon Bowles, Chair of ECON, and Klaus-Heiner Lehne, Chair of JURI, regarding deadlines for the submission of ESMA's technical standards.
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
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
03/05/2012 2012/SMSG/25 Advice on the discussion paper on Proxy Advisors Securities and Markets Stakeholder Group Letter PDF
236.57 KB
24/05/2012 2012/SMSG/27b SMSG advice to ESMA on short selling Securities and Markets Stakeholder Group Letter PDF
86.43 KB		 This document is an advice from the SMSG to ESMA's draft technical advice on possible Delegated Acts concerning the regulation on short selling and certain aspects of credit default swaps ((EC) No XX/2012))
24/05/2012 2012/SMSG/30 ESMA’s Discussion paper on Key concepts of the AIFMD and types of AIFM – Opinion of the SMSG Securities and Markets Stakeholder Group Letter PDF
59.17 KB		 This document is an advice from the SMSG to ESMA's discussion paper on Key concepts ofthe AIFMD and types of AIFM
04/06/2012 2012/SMSG/29 SMSG Advice on ESMA’s public consultation on Draft Technical Standards for the Regulation on OTC Derivatives, CCPs and Trade Repositories Securities and Markets Stakeholder Group Letter PDF
112.88 KB

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