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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
25/09/2015 2015/1463 ESMA Consultation Paper on ESEF , , Consultation Paper PDF
2.34 MB
08/06/2015 2015/920 Impact of the Best Practice Principles for Providers of Shareholder Voting Research and Analysis , Consultation Paper PDF
337.08 KB
Responding to this Call for Evidence ESMA invites comments on all matters in this paper and in particular on the specific questions presented throughout the paper. Comments are most helpful, if they:a.    respond to the question stated;b.    indicate the specific question to which they relate; andc.    contain a clear rationale.  ESMA will consider all comments received by 27 July 2015. All contributions should be submitted online at www.esma.europa.eu under the heading ‘Your input - Consultations’. Publication of responses All contributions received will be published following the close of the Call for Evidence, unless you request otherwise.  Please clearly and prominently indicate in your submission any part you do not wish to be publically disclosed. A standard confidentiality statement in an email message will not be treated as a request for non-disclosure. A confidential response may be requested from us in accordance with ESMA’s rules on access to documents. We may consult you, if we receive such a request. Any decision we make not to disclose the response is reviewable by ESMA’s Board of Appeal and the European Ombudsman.Data protection Information on data protection can be found at www.esma.europa.eu under the heading Legal Notice.Who should read this Call for Evidence This Call for Evidence will be of relevance to persons and entities participating in the voting chain, particularly proxy advisors, investors, companies listed in Europe, proxy solicitors and consultants.
22/03/2012 2012/212 Discussion Paper- An Overview of the Proxy Advisory Industry. Considerations on Possible Policy Options , Consultation Paper PDF
524.85 KB
This Discussion Paper focuses on the development of the proxy advisory industry in Europe, which mainly serves institutional investors such as asset managers, mutual funds and pension funds. Following its fact-finding work in 2011, ESMA recognises the proxy advisory industry within Europe is, or is expected to be, growing in prominence and investors are, or are expected to be, increasingly using proxy advisor services. In this paper ESMA identifies several key issues related to the proxy advisory market which may have an impact on the proper functioning of the voting process. The range of policy options that ESMA will consider, and on which it seeks further input from market participants, consists of four broad areas, including: 1.    No EU-level action at this stage 2.    Encouraging Member States and/or industry to develop standards 3.    Quasi-binding EU-level regulatory instruments 4.    Binding EU-level legislative instruments ESMA will consider these options based on the feedback it receives from market participants, and, if appropriate, will undertake further policy action, either directly or by providing an opinion to the European Commission. The reason to bring up some policy options is due to the fact that proxy advisors are currently not regulated at a pan-European level. Nevertheless, there are relevant European rules that apply to investors (e.g. for UCITS management companies when exercising voting rights). In addition, there are also well-recognised corporate governance standards that apply to issuers at a national level (based on the “comply or explain approach”) and some complements to improve standards of stewardship among investors. All feedback received from this Discussion Paper will be duly considered. ESMA expects to publish a feedback statement in Q4 of 2012 which will summarise the responses received and will state ESMA’s view on whether there is a need for policy action in this area.
14/09/2011 2011/288 Call for evidence- Empty voting , , Consultation Paper PDF
81.13 KB
03/12/2010 10-1459 Call for evidence- Implementing measures on the Alternative Investment Fund Managers Directive Consultation Paper PDF
92.68 KB
18/11/2010 10-1253 Consultation Paper: CESR’s Guidelines on Risk Measurement and the Calculation of Global Exposure for certain types of structured UCITS Consultation Paper PDF
205.28 KB
02/08/2010 10-791c Consultation paper- Development of Pan-European Access to Financial Information Disclosed by Listed Companies Consultation Paper PDF
466.17 KB
20/07/2010 10-530 Consultation paper- Guidelines on the selection and presentation of performance scenarios in the Key Investor Information document for structured UCITS Consultation Paper PDF
171.6 KB
20/07/2010 10-672 Consultation paper- Guidelines for the transition from the Simplified Prospectus to the Key Investor Information document Consultation Paper PDF
140.16 KB
20/07/2010 10-532 Consultation paper- A guide to clear language and layout for the Key Investor Information document Consultation Paper PDF
152.51 KB
20/07/2010 10-794 Consultation paper- Template for the Key Investor Information document Consultation Paper PDF
133.42 KB
19/07/2010 10-809 Consultation paper- Transaction Reporting on OTC Derivatives and Extension of the Scope of Transaction Reporting Obligations Consultation Paper PDF
143.71 KB
19/07/2010 10-610 Consultation paper- Standardisation and exchange trading of OTC derivatives Consultation Paper PDF
288.76 KB
12/07/2010 10-831 Consultation paper- CESR Technical Advice to the European Commission in the context of the MiFID Review – Client Categorisation Consultation Paper PDF
258.18 KB
17/05/2010 10-536 Consultation paper- Guidance on the Enforcement Practices and Activities to be Conducted under Article 21.3(a) of the Regulation Consultation Paper PDF
205.65 KB
17/05/2010 10-537 Consultation paper- Guidance on Common Standards for Assessment of Compliance of Credit Rating Methodologies with the Requirements set out in Article 8(3) Consultation Paper PDF
214.09 KB
07/05/2010 10-510 Consultation paper- CESR Technical Advice to the European Commission in the Context of the MiFID Review: Non-equity markets transparency Consultation Paper PDF
220.04 KB
23/04/2010 10-411 Consultation paper on proposed amendments to CESR’s recommendations for the consistent implementation of the Prospectuses Regulation regarding mineral companies Consultation Paper PDF
335.81 KB
19/04/2010 10-108 Consultation paper- CESR’s Guidelines on Risk Measurement and the Calculation of Global Exposure and Counterparty Risk for UCITS Consultation Paper PDF
648.11 KB
13/04/2010 10-417 Consultation paper- CESR technical advice in the context of the MiFID review –Investor Protection and Intermediaries Consultation Paper PDF
669.76 KB

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