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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|19/11/2020||Market makers - XLS||Market makers and authorised primary dealers who are using the exemption under the SSR- XLS||Short Selling||Reference||XLSX
|19/11/2020||Market makers - pdf||Market makers and authorised primary dealers who are using the exemption under the SSR- PDF||Short Selling||Reference||PDF
|18/11/2020||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.
|06/11/2020||ESMA32-65-293||Application form for CFSC CWG||Corporate Disclosure, Corporate Finance||Reference||DOCX
|06/11/2020||ESMA32-65-292||Call for expression of interest CFSC CWG 2020||Corporate Finance||Reference||PDF
|03/11/2020||ESMA71-99-1423||QA Fast Track Peer Review- Wirecard||Corporate Disclosure, Guidelines and Technical standards, Supervisory convergence||Q&A||PDF
|23/10/2020||ESMA31-62-1193||List of prospectus thresholds||Corporate Disclosure, Corporate Finance, Prospectus||Reference||PDF
|31/08/2020||ESMA32-380-143||National thresholds for shareholder identification under the revised SRD||Corporate Finance||Reference||PDF
|08/07/2020||ESMA33-5-852||Response Form for the Call for Evidence on Access and Use of Credit Ratings_Questionnaire C||Credit Rating Agencies||Reference||DOCX
|08/07/2020||ESMA33-5-850||Response Form for the Call for Evidence on Access and Use of Credit Ratings_Questionnaire B||Credit Rating Agencies||Reference||DOCX
|08/07/2020||ESMA33-5-851||Response Form for the Call for Evidence on Access and Use of Credit Ratings_Questionnaire A||Credit Rating Agencies||Reference||DOCX
|04/06/2020||ESMA41-356-82||Public Notice- Scope Ratings GmbH||Credit Rating Agencies||Reference||PDF
|03/06/2020||ESMA50-164-3342 response form||Draft Guidelines on Outsourcing to Cloud Service Providers- response form||Innovation and Products||Reference||DOCX
|17/04/2020||ESMA32-51-370||Q&A on ESMA Guidelines on Alternative Performance Measures||Corporate Disclosure, Corporate Information||Q&A||PDF
|07/04/2020||ESMA50-157-2140||ToR FISC||Innovation and Products||Reference||PDF
|27/03/2020||ESMA31-69-261||Call for expression of interest CFSC CWG 2020||Corporate Finance||Reference||PDF
|27/03/2020||ESMA31-69-263||Application form CSFC CWG||Corporate Finance||Reference||DOCX
|17/02/2020||ESMA33-5-87||Q&A on the Implementation of the Regulation (EU) No 462 2013 On CRA||Credit Rating Agencies||Q&A||PDF
|14/02/2020||ESMA22-106-2062||Procedure- ESMA Stakeholder Group Renewal Procedure 2020||Securities and Markets Stakeholder Group||Reference||PDF
|14/02/2020||SMSG 2020||SMSG application form 2020||Securities and Markets Stakeholder Group||Reference||DOCX