ESMA LIBRARY
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Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 15/03/2018 | 15-3-18 | ESAs weigh benefits and risks of Big Data | Innovation and Products, Press Releases | Press Release | PDF 20.5 KB |
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| 15/06/2011 | 2011/141 | Consultation paper- ESMA’s technical advice on possible delegated acts concerning the Prospectus Directive as amended by the Directive 2010/73/EU | Prospectus, Corporate Disclosure | Consultation Paper | PDF 1.45 MB |
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| 14/09/2011 | 2011/288 | Call for evidence- Empty voting | Corporate Disclosure, Corporate Governance, Transparency | Consultation Paper | PDF 81.13 KB |
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| 26/01/2011 | 2011/35 | Call for evidence- Request for technical advice on possible delegated acts concerning the Prospectus Directive (2003/71/EC) as amended by the Directive 2010/73/EU | Prospectus, Corporate Disclosure | Consultation Paper | PDF 3.85 MB |
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| 10/11/2011 | 2011/373 | Consultation paper- Considerations of materiality in financial reporting | Corporate Disclosure, IFRS Supervisory Convergence | Consultation Paper | PDF 170.93 KB |
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| 13/12/2011 | 2011/444 | ESMA’s technical advice on possible delegated acts concerning the Prospectus Directive as amended by the Directive 2010/73/EU | Prospectus, Corporate Disclosure | Consultation Paper | PDF 1.15 MB |
The purpose of this consultation document from ESMA is to seek comments on the technical advice that ESMA proposes to give to the European Commission on a number of possible delegated acts. | |||
| 22/12/2011 | 2011/445 | Consultation paper on guidelines on certain aspects of the MiFID suitability requirements | MiFID - Investor Protection | Consultation Paper | PDF 355.06 KB |
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| 22/12/2011 | 2011/446 | Consultation paper on guidelines on certain aspects of the MiFID compliance function requirements | MiFID - Investor Protection | Consultation Paper | PDF 393.94 KB |
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| 23/03/2011 | 2011/82 | Press release- ESMA establishes a framework for third country prospectus and applies this new framework to facilitate Israeli issuers access | Prospectus, Corporate Disclosure, Press Releases | Press Release | PDF 189.19 KB |
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| 01/03/2012 | 2012/140 | ESMA advises European Commission on Prospectus Directive’s overhaul- Advice covers possible delegated acts | Prospectus, Corporate Disclosure, Press Releases | Press Release | PDF 115.14 KB |
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| 22/03/2012 | 2012/212 | Discussion Paper- An Overview of the Proxy Advisory Industry. Considerations on Possible Policy Options | Corporate Disclosure, Corporate Governance | Consultation Paper | PDF 524.85 KB |
This Discussion Paper focuses on the development of the proxy advisory industry in Europe, which mainly serves institutional investors such as asset managers, mutual funds and pension funds. Following its fact-finding work in 2011, ESMA recognises the proxy advisory industry within Europe is, or is expected to be, growing in prominence and investors are, or are expected to be, increasingly using proxy advisor services. In this paper ESMA identifies several key issues related to the proxy advisory market which may have an impact on the proper functioning of the voting process. The range of policy options that ESMA will consider, and on which it seeks further input from market participants, consists of four broad areas, including: 1. No EU-level action at this stage 2. Encouraging Member States and/or industry to develop standards 3. Quasi-binding EU-level regulatory instruments 4. Binding EU-level legislative instruments ESMA will consider these options based on the feedback it receives from market participants, and, if appropriate, will undertake further policy action, either directly or by providing an opinion to the European Commission. The reason to bring up some policy options is due to the fact that proxy advisors are currently not regulated at a pan-European level. Nevertheless, there are relevant European rules that apply to investors (e.g. for UCITS management companies when exercising voting rights). In addition, there are also well-recognised corporate governance standards that apply to issuers at a national level (based on the “comply or explain approach”) and some complements to improve standards of stewardship among investors. All feedback received from this Discussion Paper will be duly considered. ESMA expects to publish a feedback statement in Q4 of 2012 which will summarise the responses received and will state ESMA’s view on whether there is a need for policy action in this area. | |||
| 27/03/2012 | 2012/224 | ESMA seeks views on proxy advisors | Press Releases, Corporate Governance, Corporate Disclosure | Press Release | PDF 170.89 KB |
ESMA published last Thursday a discussion paper (ESMA/2012/212) on proxy advisors active in the European Union, seeking views of stakeholders. The paper aims at giving an overview of the state and structure of the market, advisor’s methodologies, and on possible policy options. Generally, proxy advisors assist (institutional) investors and asset managers in their voting policy and strategy. Currently, there are no rules in place on a pan-European basis regarding proxy advisors. ESMA will use the feedback received on this paper to publish a feedback statement in Q4 of 2012, which will also include ESMA’s view on whether there is a need for policy action in the area. | |||
| 24/01/2012 | 2012/30 | Draft technical standards on the Regulation (EU) xxxx/2012 of the European Parliament and of the Council on short selling and certain aspects of credit default swaps | Short Selling | Consultation Paper | PDF 245.84 KB |
ESMA will consider the feedback it received to this consultation in February/March 2012 and expects to publish a final report and submission of the draft technical standards to the European Commission by 31 March 2012 for endorsement. | |||
| 20/06/2012 | 2012/380 | ESMA’s technical advice on possible delegated acts concerning the Prospectus Directive as amended by the Directive 2010/73/EU | Prospectus, Corporate Disclosure | Consultation Paper | PDF 1.49 MB |
Responses to this consultation paper should be submitted online by 20 August 2012. | |||
| 22/06/2012 | 2012/382 | MiFID Q&A in the area of investor protection and intermediaries | MiFID - Investor Protection | Q&A | PDF 319.78 KB |
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| 06/07/2012 | 2012/424 | ESMA publishes MiFID guidelines to enhance investor protection | MiFID - Investor Protection, Press Releases | Press Release | PDF 118.08 KB |
The European Securities and Markets Authority (ESMA) has today published two final sets of guidelines aimed at enhancing the protection of investors in the EU. The guidelines relate to the provisions under the Markets in Financial Instruments Directive (MiFID) relating to the suitability of investment advice and the compliance function. | |||
| 26/07/2012 | 2012/483 | ESMA publishes review of accounting treatment of Greek sovereign debt | Corporate Disclosure, IFRS Supervisory Convergence | Press Release | PDF 122.97 KB |
The European Securities and Markets Authority (ESMA) has today published Review of Greek Government Bonds accounting practices in the IFRS Financial Statements for the year ended 31 December 2011, which sets out the results of the review conducted by ESMA on accounting practices and disclosures regarding exposure to Greek government bonds. The ESMA review considered a sample of 42 European financial institutions, each with significant exposure to Greek government bonds totalling an estimated gross exposure of around €80 billion. |
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| 17/09/2012 | 2012/570 | Guidelines on remuneration policies and practices (MiFID) | MiFID - Investor Protection | Consultation Paper | PDF 508.33 KB |
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| 17/09/2012 | 2012/580 | Exemption for market making activities and primary market operations under Regulation (EU) 236/2012 of the European Parliament and the Council on short selling and certain aspects of Credit Default Swaps | Short Selling | Consultation Paper | PDF 307.31 KB |
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| 17/09/2012 | 2012/581 | ESMA proposes remuneration guidelines for firms providing investment services | MiFID - Investor Protection, Press Releases | Press Release | PDF 130.32 KB |