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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
15/11/2018 ESMA70-145-1081 Annual report on administrative and criminal sanctions and other administrative measures under MAR , Annual Report PDF
158.47 KB
15/07/2002 02-089b CESR’s Advice on possible Level 2 Implementing Measures for the proposed Market Abuse Directive Consultation Paper PDF
213.95 KB
03/10/2019 ESMA70-156-1459 Consultation paper MAR review Consultation Paper PDF
1017.98 KB
27/05/2019 ESMA70-151-1985 Consultation paper on Guidelines for reporting under Articles 4 and 12 SFTR Consultation Paper PDF
1.32 MB
10/03/2020 ESMA70-156-2189 Consultation paper on Review Report on Transparency for Non-equity TOD Consultation Paper PDF
7.93 MB
04/02/2020 ESMA70-156-2188 Consultation paper on Review Report Transparency Equity DVC TOS Consultation Paper PDF
4.75 MB
25/09/2020 ESMA70-156-2013 Consultation Paper on the functioning of Organised Trading Facilities , Consultation Paper PDF
673.72 KB
10/11/2011 2011/373 Consultation paper- Considerations of materiality in financial reporting , Consultation Paper PDF
170.93 KB
28/01/2016 2016/162 Consultation paper- Draft Guidelines on the Market Abuse Regulation , Consultation Paper PDF
406.76 KB
15/07/2014 2014/808 Consultation Paper- Draft technical advice on possible delegated acts concerning the Market Abuse Regulation (MAR) Consultation Paper PDF
656.69 KB
The European Securities and Markets Authority (ESMA) invites comments on all matters set out in this consultation paper and, in particular, on the specific questions listed in Annex I. Comments are most helpful if they: indicate the number of the question to which the comment relates; respond to the question stated; contain a clear rationale, including on any related costs and benefits; and describe any alternatives ESMA should consider. Comments should reach us by Wednesday 15 October 2014. 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 end of the consultation period, unless otherwise requested. 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. Note also that 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 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 ‘Disclaimer’.Who should read this paper?This paper may be specifically of interest to any investor that deals in financial instruments and emission allowances subject to the Market Abuse Regulation, issuers of instruments in the scope of the Regulation, financial intermediaries, operators of trading venues and participants in the emission allowance market.
15/07/2014 2014/809 Consultation Paper- Draft technical standards on the Market Abuse Regulation (MAR) Consultation Paper PDF
1.64 MB
  ESMA invites comments on all matters in this paper and in particular on the specific questions summarised in Annex 1.Comments are most helpful if they: respond to the question stated; indicate the specific question to which the comment relates; contain a clear rationale; and describe any alternatives ESMA should consider. ESMA will consider all comments received by Wednesday 15 October 2014.All contributions should be submitted online at www.esma.europa.eu under the heading ‘Your input - Consultations’.Publication of responsesAll contributions received will be published following the close of the consultation, 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 protectionInformation on data protection can be found at www.esma.europa.eu under the heading ‘Legal Notice’.Who should read this paper?This paper may be specifically of interest to any investor that deals in financial instruments and emission allowances subject to the Market Abuse Regulation, issuers of instruments in the scope of the Regulation, financial intermediaries, operators of trading venues and participants in the emission allowance market.
28/10/2004 04-505 Consultation paper- Facilitating the implementation of the Market Abuse Directive Consultation Paper PDF
284.76 KB
03/10/2008 08-717 Consultation paper- MAD Level 3 – Third set of CESR guidance and information on the common operation of the Directive to the market Consultation Paper PDF
88.1 KB
20/05/2008 08-274 Consultation paper- Market Abuse Directive Level 3 – Third set of CESR guidance and information on the common operation of the Directive to the market Consultation Paper PDF
101.96 KB
02/11/2006 06-562 Consultation paper- Market Abuse Directive, Level 3 – second set of CESR guidance and information on the common operation of the Directive to the market Consultation Paper PDF
110.17 KB
03/02/2020 ESMA70-156-1757 Consultation Paper- MiFIR report on SI Consultation Paper PDF
825.33 KB
20/11/2020 ESMA74-362-932 CP on DRSP criteria for derogation , , Consultation Paper PDF
384.54 KB
20/11/2020 ESMA74-362-837 CP on DRSP fees , , Consultation Paper PDF
526.22 KB
30/03/2016 2016/444 CP on MAR GL on information on commodities Consultation Paper PDF
486.36 KB
30/09/2016 2016/1409 Draft RTS and ITS under SFTR and amendments to related EMIR RTS , Consultation Paper PDF
5.63 MB

The European Securities and Markets Authority (ESMA) is publishing this Consultation Paper as part of its consultations on Level 2 measures under the Securities Financing Transactions Regulation (SFTR) as well as certain amendments to the Level 2 measures under EMIR in order to take into account legal developments as well as to ensure consistency, where relevant, between the frameworks of both regulations

Contents

Section 1 is the executive summary of the document. Section 2 explains the background to our proposals. Section 3 includes detailed information on the procedure and criteria for registration as TR under SFTR. Section 4 details the use of internationally agreed reporting standards, the reporting logic under SFTR and the main aspects of the structure of an SFT report. Section 5 covers the requirements regarding transparency of data and aggregation and comparison of data. Section 6 details the access levels of authorities. Section 7 contains the tables of fields, for the relevant types of SFTs, as well as a summary of all the questions.

Next Steps

ESMA will consider the feedback it received to this document in the fourth quarter of 2016. The final report and the draft technical standards will be submitted to the European Commission for endorsement by the end of Q1/beginning Q2 2017.