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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|08/12/2022||Market makers - XLS||Market makers and authorised primary dealers who are using the exemption under the SSR- XLS||Short Selling||Reference||XLSX
|08/12/2022||Market makers - pdf||Market makers and authorised primary dealers who are using the exemption under the SSR- PDF||Short Selling||Reference||PDF
|08/12/2022||ESMA71-99-2062||ESMA publishes its assessment of the Brexit relocation processes||Brexit, Supervisory convergence||Press Release||PDF
|08/12/2022||ESMA42-111-7468||Peer review into the NCAs’ handling of relocation to the EU in the context of the UK’s withdrawal from the EU||Brexit, Supervisory convergence||Report||PDF
|02/12/2022||ESMA22-106-4325||SMSG Advice on gas and nuclear energy||Securities and Markets Stakeholder Group, Sustainable finance||SMSG Advice||PDF
|02/12/2022||ESMA22-106-4322||SMSG Advice on Depositary Receipts and Geopolitical Risks||MiFID - Investor Protection, Securities and Markets Stakeholder Group||SMSG Advice||PDF
|02/12/2022||ESMA22-106-4323||SMSG Advice to the Call for evidence on the implementation of SRD2 provisions on proxy advisors and the investment chain||Corporate Finance, Securities and Markets Stakeholder Group||SMSG Advice||PDF
|30/11/2022||ESMA50-164-6905||Opening statement at the ECON hearing on FTX||Innovation and Products, Risk Analysis & Economics - Markets Infrastructure Investors||Statement||PDF
|28/11/2022||ESMA81-393-599||Final Report on review of RTS on recognition||Benchmarks, Guidelines and Technical standards||Final Report||PDF
|17/11/2022||ESMA91-372-2346||Final Report on the Guidelines on the assessment of resolvability (Article 15(5) of CCPRRR)||CCP Directorate, Guidelines and Technical standards||Final Report||PDF
|17/11/2022||ESMA91-372-1791||Final report on the Guidelines on the types and content of the provisions of Cooperation Arrangements||CCP Directorate, Guidelines and Technical standards||Final Report||PDF
|16/11/2022||ESMA22-106-3646||Summary of Conclusions SMSG- 28 September 2021||Securities and Markets Stakeholder Group||Summary of Conclusions||PDF
|16/11/2022||ESMA22-106-3449||Summary of Conclusions SMSG- 17 June 2021||Securities and Markets Stakeholder Group||Summary of Conclusions||PDF
|04/11/2022||2016/602||Compliance table- Guidelines on ETFs and other UCITS issues||Fund Management, Guidelines and Technical standards||Compliance table||PDF
|04/11/2022||Net short thresholds||Net short position notification thresholds for sovereign issuers||Short Selling||Reference||XLSX
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:
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.
|04/11/2022||ESMA42-110-812||Notifications of Compliance with Guidelines – Overview Table||Guidelines and Technical standards||Reference||XLSX
|31/10/2022||ESMA80-196-6345||Guidelines on the Scope of the CRA Regulation||Credit Rating Agencies, Guidelines and Technical standards||Guidelines & Recommendations||PDF
|31/10/2022||ESMA50-164-772||Links to the national websites explaining the procedures for notifications of net short positions||Short Selling||Reference||PDF
|28/10/2022||ESMA32-63-1320||ESMA statement on European Common Enforcement priorities for 2022 annual reports||Corporate Disclosure, IFRS Supervisory Convergence||Statement||PDF
|26/10/2022||ESMA22-106-4247||SMSG advice in respect of the ESMA Consultation Paper on the Review of the Guidelines on MiFID II product governance requirements||MiFID - Investor Protection, Securities and Markets Stakeholder Group, Supervisory convergence||SMSG Advice||PDF