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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
29/09/2014 2014/1187 Draft Regulatory Technical Standards on major shareholdings and an indicative list of financial instruments subject to notification requirements under the revised Transparency Directive , Technical Standards PDF
810.07 KB
The European Securities and Markets Authority (ESMA) has published its draft Regulatory Technical Standards (RTS) under the revised Transparency Directive relating to the notification of major shareholdings.
29/10/2014 2014/1278 Report on the equivalence of the Indian Accounting Standards , Final Report PDF
1.7 MB

This report fulfils the mandate received by the European Securities and Markets Authority (ESMA) from the European Commission (EC) in February 2014 to provide it with an update on the level of convergence of the Indian Accounting Standards (Ind-AS)1 towards International Financial Reporting Standards (IFRS) and the quality of application and enforcement of the Ind-AS, so that the EC can provide a progress report to the Council and the European Parliament (EP) in line with its obligations under Commission Regulation (EC) 1569/2007.

18/12/2014 2014/1560 Advice- Investment-based crowdfunding 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.
25/09/2015 2015/1460 ESMA Final Report on DRAFT RTS on EEAP Technical Standards PDF
1.62 MB
21/05/2015 2015/856 Ann1 Investment-based crowdfunding- Insights from regulators in the EU Final Report PDF
319.65 KB
10/11/2016 2016-1560 Final Report on Technical Advice under the Benchmarks Regulation Final Report PDF
943.42 KB
14/11/2016 2016/1565 Final Report on the clearing obligation for financial counterparties with a limited volume of activity , Final Report PDF
478.72 KB
14/12/2015 EBA/Op/2015/20 Report on investment firms Final Report PDF
1.2 MB
09/03/2016 ESAs/2016/21 RTS on Risk Mitigation LegisWrite Final Report PDF
419.38 KB
09/03/2016 ESAs/2016/22 Annexes to RTS on Risk Mitigation LegisWrite Final Report PDF
297.23 KB
09/03/2016 ESAs/2016/23 Final Draft RTS on Risk Mitigation Techniques final Final Report PDF
705.82 KB
09/03/2016 ESAs/2016/24 FeedbackTable CP1 and CP2 RTS OTC 01022016 Final Report PDF
1.14 MB
04/02/2020 ESMA32-67-613 Report on amendments to ESMA Guidelines on enforcement of financial information Final Report PDF
272.06 KB
10/11/2021 ESMA35-42-1183 Draft technical standards under the European crowdfunding service providers for business Regulation , Final Report PDF
1.43 MB
26/03/2021 ESMA43-370-281 Final report_TA on procedural rules for penalties imposed on Benchmark Administrators Final Report PDF
369.64 KB
18/12/2020 ESMA50-157-2403 Final report on Guidelines on outsourcing to cloud service providers Final Report PDF
384.63 KB
20/12/2018 ESMA70-145-1008 Final report on Guidelines on non-significant benchmarks Final Report PDF
673.72 KB
02/06/2017 ESMA70-145-81 Final report on draft RTS on cooperation with third countries under BMR Final Report PDF
203.07 KB
18/11/2021 ESMA70-156-4953 Final Report on draft RTS on the clearing and derivative trading obligations in view of the benchmark transition to risk free rates , Final Report PDF
948.59 KB
15/04/2021 ESMA80-193-1713 EMIR and SFTR data quality report 2020 , , , Final Report PDF
791.94 KB