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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|11/08/2021||Market makers - XLS||Market makers and authorised primary dealers who are using the exemption under the SSR- XLS||Short Selling||Reference||XLSX
|11/08/2021||Market makers - pdf||Market makers and authorised primary dealers who are using the exemption under the SSR- PDF||Short Selling||Reference||PDF
|04/08/2021||Net short thresholds||Net short position notification thresholds for sovereign issuers||Short Selling||Reference||XLSX
According to Article 7(2) of the Short Selling Regulation, ESMA has to publish a list of the thresholds applicable to the sovereign issuers for the purpose of the notification to competent authorities of significant net short position in sovereign debt.
The way these notification thresholds are defined is further specified in the Commission Delegated Regulation No 918/2012 (the “DR”). The DR specifies that initial threshold categories shall be:
The additional incremental levels shall be set at 50% of the initial thresholds. The reporting thresholds shall be monetary amounts fixed by applying the percentage thresholds to the outstanding sovereign debt of the sovereign issuer. They will be revised and updated quarterly to reflect changes in the total amount of outstanding sovereign debt of each sovereign issuer.
In addition, the DR states that the amount of outstanding debt should be calculated using a duration adjusted approach. ESMA has published a Q&A document on how to proceed for the duration adjustment.
The table of thresholds contains the name of the sovereign issuer, the amount of outstanding debt duration adjusted, the initial threshold amount and the relevant percentage, the incremental threshold amount and the relevant percentage.
Please note that the figures of the amount of outstanding debt are duration adjusted (not nominal amounts) and are approximations provided by competent authorities.
|28/05/2021||esma74-362-2009||Response_form_Response_form_-_Consultation Paper on the Guidelines on Transfer of Data||Market data, Securities Financing Transactions, Trade Repositories||Reference||DOCX
|30/03/2021||ESMA32-67-716||Report on IFRS 10-11-12||Corporate Disclosure, IAS Regulation, IFRS Supervisory Convergence||Report||PDF
|29/03/2021||ESMA74-362-1937||response form- Technical Advice on simplification TR fees under SFTR and EMIR||Securities Financing Transactions, Trade Repositories||Reference||DOCX
|29/03/2021||ESMA50-164-770||Links to national websites where net short positions in shares are disclosed||Short Selling||Reference||PDF
|15/01/2021||ESMA50-164-772||Links to the national websites explaining the procedures for notifications of net short positions||Short Selling||Reference||PDF
|04/01/2021||SSR sanctions||Administrative measures and sanctions applicable in Member States to infringements of the Short Selling Regulation (SSR)||Short Selling||Reference||PDF
|09/03/2020||ESMA80-199-332||ESMA Supervision- Annual Report 2019 and Work Programme 2020||Benchmarks, Credit Rating Agencies, Securities Financing Transactions, Securitisation, Trade Repositories||Annual Report||PDF
|06/01/2020||ESMA74-362-388||LEI statement SFTR||Securities Financing Transactions||Reference||PDF
|27/05/2019||ESMA70-151-1019||Consolidated SFTR_Validation_Rules||Securities Financing Transactions||Reference||XLSX
|27/05/2019||ESMA70-151-2371||Response form to consultation on Guidelines for reporting under Articles 4 and 12 SFTR||Securities Financing Transactions||Reference||DOCX
|17/07/2018||ESMA32-51-522||ESMA response to the European Commission consultation on the Fitness Check on the EU Framework for public reporting by companies||Corporate Disclosure, IAS Regulation||Report||PDF
|27/03/2018||ESMA33-128-212 reply form||Reply form- Consultation Paper TA Fees Securitisation Repositories||Securities Financing Transactions||Reference||DOCX
|27/03/2018||ESMA33-128-109 reply form||Reply form- Consultation Paper Securitisation Repositories Application||Securities Financing Transactions||Reference||DOCX
|05/04/2017||ESMA31-54-435||Report on shareholder identification and communication systems||Corporate Finance, Corporate Governance||Report||PDF
|13/10/2016||2016-IFRS||IFRS Foundation and ESMA statement of protocols for cooperation on International Financial Reporting Standards||Corporate Information, IAS Regulation, IFRS Supervisory Convergence||Reference||PDF
|30/09/2016||2016/1409||SFTR Tables||Post Trading, Securities Financing Transactions||Reference||XLSX
|01/02/2016||2016/200||MiFID registers- information about web service||Short Selling, MiFID - Secondary Markets||Reference||PDF
This document sets out the web service for the following registers:
Shares admitted to trading on regulation markets
Multilateral trading facilities