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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
04/01/2011 10-1541 3L3 Committees Joint Letter on the European Commission’s Green Paper on Audit: Lessons learnt from the Crisis , 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 , 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 , 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 , Letter PDF
87.69 KB
20/01/2011 2011/16 Letter to the SEC- Rulemakings on Registration of non-resident Swap Data Repositories 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 Letter PDF
34.38 KB
15/03/2011 2011/94 ESMA response to the European Commission consultation on CSDs and securities settlement Letter PDF
54.2 KB
08/08/2013 2013/1086 Reporting to Trade Repositories – the case of ETDs Letter PDF
177.31 KB
03/09/2013 2013/1163 Technical advice on third country regulatory equivalence under EMIR Letter PDF
174.58 KB
02/10/2013 2013/1383 Technical advice on third country regulatory equivalence under EMIR Letter PDF
44.23 KB
13/11/2013 2013/1561 Review of the European System on Financial Supervision (ESFS) Letter PDF
141.48 KB
15/11/2013 2013/1655 ESMA reply to Commission letter on the reporting of exchange traded derivatives under EMIR Letter PDF
42.73 KB
28/01/2014 2013/1941 Letter to Jonathan Faull (EC) regarding draft technical standards , Letter PDF
44.25 KB
15/03/2013 2013/312 Regulatory technical standards on colleges for central counterparties supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 Opinion PDF
151.67 KB
06/11/2014 2014-41 ESA’s budget 2015 – ensuring safe financial markets Letter PDF
91.5 KB
The European Supervisory Authorities - European Banking Authority (EBA), European Insurance and Occupational Pensions Authority (EIOPA), European Securities and Markets Authority (ESMA) - have written to the President of the Economic and Financial Affairs Council (ECOFIN) on their concerns regarding the budget negotiations for the 2015 EU budget and the budgetary constraints of the ESAs.
30/09/2014 2014/1179 Letter to Commission Barnier- Postponement of reports due by ESMA under Article 85.3 of EMIR Letter PDF
30.37 KB
18/12/2014 2014/1378 Opinion- Investment-based crowdfunding Opinion PDF
460.92 KB
Crowdfunding is a means of raising finance for projects from ‘the crowd’ often by means of an internet-based platform through which project owners ‘pitch’ their idea to potential backers, who are typically not professional investors.  It takes many forms, not all of which involve the potential for a financial return.  ESMA’s focus is on crowdfunding which involves investment, as distinct from donation, non-monetary reward or loan agreement.  Crowdfunding is relatively young and business models are evolving. EU financial services rules were not designed with the industry in mind. Within investment-based crowdfunding a range of different operational structures are used so it is not straightforward to map crowdfunding platforms’ activities to those regulated under EU legislation. Member States and NCAs have been working out how to treat crowdfunding, with some dealing with issues case-by-case, some seeking to clarify how crowdfunding fits into existing rules and others introducing specific requirements.To assist NCAs and market participants, and to promote regulatory and supervisory convergence, ESMA has assessed typical investment-based crowdfunding business models and how they could evolve, risks typically involved for project owners, investors and the platforms themselves and the likely components of an appropriate regulatory regime. ESMA then prepared a detailed analysis of how the typical business models map across to the existing EU legislation, set out in this document.
21/11/2014 2014/1385 ESMA letter to European Commission regarding EMIR clearing obligation Letter PDF
34.57 KB
14/02/2014 2014/184 Letter to Commissioner Barnier on classification of financial instruments as derivatives Letter PDF
223.48 KB
24/01/2014 2014/1964 Letter to Jonathan Faull (EC) regarding Technical Advice Letter PDF
180.54 KB

Letter regarding Technical advice on possible delegated acts concerning procedural rules to impose fines and periodic penalty payments to Trade Repositories (TRs)

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