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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
15/07/2021 ESMA 32-63-365 List of decisions published from the EECS’s Database of Enforcement Reference PDF
243.01 KB
15/07/2021 ESMA70-156-4731 Response form for the Consultation Paper on MAR Guidelines Reference DOCX
753.44 KB
02/07/2021 ESMA42-110-812 Notifications of Compliance with Guidelines – Overview Table Reference XLSX
99.08 KB
02/07/2021 ESMA42-646012687-331 ESMA Guidelines , Reference XLSX
59.63 KB
03/06/2021 ESMA32-65-324 Call for interest ESMA ECL Workshop , Reference PDF
39.11 KB
29/03/2021 ESMA50-164-770 Links to national websites where net short positions in shares are disclosed Reference PDF
117.25 KB
08/03/2021 ESMA70-151-2537 Compliance table Guidelines Conflict of interest , Compliance table PDF
141.4 KB
08/03/2021 ESMA70-151-2536 compliance table Guidelines APC Measures , Compliance table PDF
141.15 KB
10/02/2021 ESMA34-45-1128 Compliance table- Guidelines on performance fees in UCITS and certain types of AIFs , , Compliance table PDF
226.56 KB
29/01/2021 ESMA32-61-438 ESMA response to EFRAG DEA IFRS 17 , Reference PDF
162.79 KB
15/01/2021 ESMA50-164-772 Links to the national websites explaining the procedures for notifications of net short positions Reference PDF
166.56 KB
04/01/2021 ESMA70-145-1020 List of national competent authorities that have increased the thresholds for the notification of transactions of persons discharging managerial responsibilities and closely associated persons Reference PDF
211.7 KB
04/01/2021 SSR sanctions Administrative measures and sanctions applicable in Member States to infringements of the Short Selling Regulation (SSR) Reference PDF
371.24 KB
21/12/2020 Market makers - XLS Market makers and authorised primary dealers who are using the exemption under the SSR- XLS Reference XLSX
39.31 KB
21/12/2020 Market makers - pdf Market makers and authorised primary dealers who are using the exemption under the SSR- PDF Reference PDF
466.94 KB
18/12/2020 ESMA34-49-186 Confirmation of compliance with Guidelines- MMF Stress test guidelines , Compliance table PDF
136.41 KB
01/12/2020 ESMA32-67-142 Compliance table on ESMA Guidelines on the enforcement of financial information , Compliance table PDF
150.56 KB
18/11/2020 Net short thresholds Net short position notification thresholds for sovereign issuers Reference XLSX
25.95 KB

According to Article 7(2) of the Short Selling Regulation, ESMA has to publish a list of the thresholds applicable to the sovereign issuers for the purpose of the notification to competent authorities of significant net short position in sovereign debt.

The way these notification thresholds are defined is further specified in the Commission Delegated Regulation No 918/2012 (the “DR”). The DR specifies that initial threshold categories shall be:
1.0.1% applicable where the total amount of outstanding issued sovereign debt is between 0 and 500 billion euros;
2.0.5% applicable where the total amount of outstanding issued sovereign debt is above 500 billion euros or where there is a liquid futures market for the particular sovereign debt.

The additional incremental levels shall be set at 50% of the initial thresholds. The reporting thresholds shall be monetary amounts fixed by applying the percentage thresholds to the outstanding sovereign debt of the sovereign issuer. They will be revised and updated quarterly to reflect changes in the total amount of outstanding sovereign debt of each sovereign issuer.

In addition, the DR states that the amount of outstanding debt should be calculated using a duration adjusted approach. ESMA has published a Q&A document on how to proceed for the duration adjustment.

The table of thresholds contains the name of the sovereign issuer, the amount of outstanding debt duration adjusted, the initial threshold amount and the relevant percentage, the incremental threshold amount and the relevant percentage.

Please note that the figures of the amount of outstanding debt are duration adjusted (not nominal amounts) and are approximations provided by competent authorities.

13/11/2020 ESMA34-32-699 Guidelines compliance table- Guidelines on model MoU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities (ESMA/2013/998) , Compliance table PDF
108.66 KB
05/10/2020 ESMA41-140-79 Technical standards , Reference XLSX
120.37 KB

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