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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|19/10/2020||ESMA70-151-3023||CP Article 15 and 49 EMIR||CCP Directorate||Consultation Paper||PDF
|09/07/2020||ESMA70-151-3192||Letter to EC re EMIR 2.2 Delegated Acts on tiering criteria, comparable compliance and fees for third-country CCPs||CCP Directorate, Post Trading||Letter||PDF
|31/10/2018||ESMA22-106-1084||SMSG Letter to European Commission Vice-President Dombrovskis on PRIIPS||Securities and Markets Stakeholder Group||Letter||PDF
|12/06/2018||SGs EP||Joint Stakeholder Groups letter to European Parliament on ESAs Review||Securities and Markets Stakeholder Group||Letter||PDF
|29/09/2017||70-145-105||Draft Guidelines on non-significant benchmarks||Benchmarks, Guidelines and Technical standards||Consultation Paper||PDF
|07/07/2017||ESMA70-145-127||Consultation paper on the evaluation of the short-selling regulation||Market Integrity, Short Selling||Consultation Paper||PDF
|26/06/2017||ESMA22-106-272||Joint Statement by BSG, IRSG, OPSG and SMSG on European Commission's Consultation on the operation of the ESAs||Securities and Markets Stakeholder Group||Letter||PDF
|28/10/2016||2016/1529||Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body and key function holders||Guidelines and Technical standards, MiFID - Investor Protection||Consultation Paper||PDF
|31/05/2016||2016/732||Guidelines on participant default rules and procedures under CSDR||Guidelines and Technical standards, Post Trading||Consultation Paper||PDF
The European Securities and Markets Authority (ESMA) under Article 41(4) of Regulation (EU) No 909/2014 of the European Parliament and of the Council on improving securities settlement in the European Union and on central securities depositories and amending Directives 98/26/EC and 2014/65/EU and Regulation No 236/2012 (CSDR) may issue guidelines in accordance with Article 16 of Regulation (EU) No 1095/2010 in order to ensure consistent application of Article 41 of CSDR relating to participant default rules and procedures.
Section 2 contains information on the background and mandate, Section 3 contains an analysis of the scope and content of the proposed guidelines, while Section 4 contains the proposed guidelines.
Annex I sets out a summary of the questions contained in this paper and Annex II includes a high level cost-benefit analysis for the guidelines.
ESMA will consider the feedback it will receive to this consultation with a view to finalising the guidelines by Q4 2016.
|10/03/2016||2015/SMSG/028||SMSG letter PRIIPs past performance||Securities and Markets Stakeholder Group||Letter||PDF
|23/02/2015||2015/168||Letter to EU Institutions re ESMA’s 2015 Work Programme||Corporate Information, Management Board, Board of Supervisors||Letter||PDF
|Dear Mr Gualtieri, Ms Ribkina and Commissioner Hill, On 30 September 2014 we sent you ESMA’s Work Programme for 2015, which was based on the budget request that had been approved by ESMA’s Board of Supervisors: a budget of €38,639,000 and 147 Establishment Plan posts. The EU budget had not been voted at the time. Following the adoption of the EU budget, ESMA’s 2015 expenditure budget is €33,601,402 (plus an additional €3,100,000 from assigned revenues for tasks delegated from National Competent Authorities) with an Establishment Plan of 137 posts. ESMA’s Board of Supervisors has approved a revised work programme to account for the difference of €5m and 10 Establishment Plan posts; representing a 15% reduction compared to the planned ESMA budget and 7% of its Establishment Plan. ESMA will therefore lack sufficient resources to execute all the tasks that were initially planned for 2015. The Work Programme explains the areas where reprioritisation had to take place, including the risk that ESMA will not fully meet its legal obligations, for instance due to the delay of delivery compared to legally set timetables. A summary of the deprioritised tasks is annexed to the Work Programme and reproduced in the table below. 2014/1200rev ESMA Work Programme|
|05/03/2013||2013/SMSG/03||SMSG Advice on Benchmarks/Indices||Securities and Markets Stakeholder Group, Benchmarks||Letter||PDF
|12/02/2013||2013/203||On the evaluation of the Regulation (EU) 236/2012 of the European Parliament and of the Council on short selling and certain aspects of credit default swaps||Short Selling||Consultation Paper||PDF
|19/12/2012||2012/SMSG/69||SMSG Advice on Guidelines on remuneration policies and practices (MiFID)||Securities and Markets Stakeholder Group||Letter||PDF
|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
|06/09/2012||2012/SMSG/58||SMSG Advice on EMIR Draft (Regulatory) Technical Standards||Securities and Markets Stakeholder Group||Letter||PDF
|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
|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
|This document is an advice from the SMSG to ESMA's discussion paper on Key concepts ofthe AIFMD and types of AIFM|
|24/05/2012||2012/SMSG/27b||SMSG advice to ESMA on short selling||Securities and Markets Stakeholder Group||Letter||PDF
|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))|
|03/05/2012||2012/SMSG/25||Advice on the discussion paper on Proxy Advisors||Securities and Markets Stakeholder Group||Letter||PDF