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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
11/05/2005 05-274 Feedback Statement- Market Abuse Directive, Level 3 – first set of guidance and information on the common operation of the Directive Market Abuse Final Report PDF
79.76 KB		 http://www.cesr-eu.org/data/document/05_274.pdf
22/11/2007 07-693 Report on Administrative Measures and Sanctions available in Member States under the Market Abuse Directive (MAD) Market Abuse Final Report PDF
3.44 MB
28/02/2008 08-099 CESR Executive summary to the report on administrative measures and sanctions as well as the criminal sanctions available in Member States under the Market Abuse Directive Market Abuse Final Report PDF
874.1 KB
15/05/2009 09-220 Feedback statement- MAD Level 3 – Third set of CESR guidance and information on the common operation of the Directive to the market Market Abuse CESR Document PDF
238.16 KB
27/09/2012 2012/600 Annex VIII Impact assessment- Annex VIII of the Final report on draft Regulatory and Implementing Technical Standards on Regulation (EU) 648/2012 on OTC derivatives, central counterparties and trade repositories Post Trading Final Report PDF
2.32 MB
03/01/2013 2012/874 Report to the European Parliament, the Council and the Commission on the budgetary implications of Regulation (EU) No 648/2012 on OTC derivatives, central counterparties and trade repositories (EMIR) Post Trading Final Report PDF
526.73 KB
12/09/2013 2013/08/ODRG Agreed Understandings to Resolving Cross-border Conflicts, Inconsistencies, Gaps and Duplicative Requirements Post Trading Final Report PDF
442.48 KB
02/10/2013 2013/1370 Technical advice on third country regulatory equivalence under EMIR – India Post Trading Final Report PDF
2.44 MB
02/10/2013 2013/1373 ESMA Technical advice on equivalence of Australia- OTC and TR (Supplement) Post Trading Final Report PDF
736.17 KB
02/10/2013 2013/1374 Technical advice on third country regulatory equivalence under EMIR – Switzerland (Supplement) Post Trading Final Report PDF
117.72 KB
02/10/2013 2013/1375 Technical advice on third country regulatory equivalence under EMIR – Canada Post Trading Final Report PDF
1.39 MB
01/07/2013 2013/805 Supervisory Practices under MAD- Peer review report and Good Practices Market Abuse, Supervisory convergence Final Report PDF
1.17 MB		 ESMA's peer review of the supervisory practices EEA national competent authorities (NCAs) covers how national authorities enforce the requirements of the Market Abuse Directive (MAD).  The Directive deals with the prevention of the dissemination of misleading information, the breach of reporting obligations and market abuse.
01/07/2013 2013/806 Supervisory Practices under MAD- Mapping Report Market Abuse, Supervisory convergence Final Report PDF
315.44 KB		 ESMA's Mapping Report on Supervisory Practices under MAD sets out the situation in each Member State as regards their implementation of the various requirements of the Market Abuse Directive.
31/03/2014 2014/03/ODRG Report of the OTC Derivatives Regulators Group (ODRG) on Cross-Border Implementation Issues Post Trading Final Report PDF
159.11 KB
18/12/2014 2014/1560 Advice- Investment-based crowdfunding Innovation and Products Final Report PDF
482.2 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 sections 1 to 6 of this document.
02/07/2015 2015/1067 Final report on the extension of the scope of interoperability arrangements Post Trading Final Report PDF
302.39 KB
13/08/2015 2015/1251 EMIR Review Report no.1- Review on the use of OTC derivatives by non-financial counterparties Post Trading Final Report PDF
3.03 MB
13/08/2015 2015/1252 EMIR Review Report no.2- Review on the efficiency of margining requirements to limit procyclicality Post Trading Final Report PDF
3.93 MB
13/08/2015 2015/1253 EMIR Review Report no.3- Review on the segregation and portability requirements Post Trading Final Report PDF
267.55 KB
13/08/2015 2015/1254 EMIR Review Report no.4- ESMA input as part of the Commission consultation on the EMIR Review Post Trading Final Report PDF
399.85 KB

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