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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
07/12/2022 ESMA35-43-1410 Contact points of national supervisory authorities for communication in the MiFID II framework on supervisory cooperation, authorisation, acquisitions and passporting Reference PDF
347.85 KB
02/12/2022 ESMA22-106-4322 SMSG Advice on Depositary Receipts and Geopolitical Risks , SMSG Advice PDF
152.76 KB
30/11/2022 ESMA35-42-1305 ESCPR- Miscellaneous reporting to ESMA , Reference PDF
381.28 KB
04/11/2022 Net short thresholds Net short position notification thresholds for sovereign issuers Reference XLSX
26.52 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.

31/10/2022 ESMA50-164-772 Links to the national websites explaining the procedures for notifications of net short positions Reference PDF
159.53 KB
28/10/2022 ESMA42-112-389 List of extra-judicial mechanisms for consumers complaints (Art. 75 MiFID II) Reference PDF
265.62 KB
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 , , SMSG Advice PDF
232.86 KB
24/10/2022 ESMA24-436-1150 Annex to the Opening Statement- 2022 ECON Annual Hearing, 24 October 2022 , , , , , , , Reference PDF
701.79 KB
21/10/2022 Market makers - XLS Market makers and authorised primary dealers who are using the exemption under the SSR- XLS Reference XLSX
41.18 KB
21/10/2022 Market makers - pdf Market makers and authorised primary dealers who are using the exemption under the SSR- PDF Reference PDF
461.14 KB
13/10/2022 ESMA35-43-2517 Compliance table on Guidelines on certain aspects of the MiFID II compliance function (ESMA35-36-1952) , Compliance table PDF
149.47 KB
16/09/2022 CPD22 Joint ESAs Consumer Protection Day- Programme , Reference PDF
234.44 KB
24/08/2022 ESMA32-60-254 ESEF Reporting Manual Reference PDF
1.27 MB
20/07/2022 SSR sanctions Administrative measures and sanctions applicable in Member States to infringements of the Short Selling Regulation (SSR) Reference PDF
372.65 KB
20/07/2022 ESMA35-43-3327 Compliance table on Guidelines on certain aspects of the MiFID II appropriateness and execution only requirements , Compliance table PDF
322.1 KB
20/07/2022 ESMA50-164-2193 TRV Article_Key Retail Risk Indicators for the EU single market , Reference PDF
428.33 KB
19/07/2022 ESMA35-43-3020 Joint compliance table on ESMA and EBA guidelines on the assessment of the suitability of members of the management body and key function holders , Compliance table PDF
320.25 KB
01/07/2022 ESMA31-67-535 Practical Guide on notifications of major holdings under the Transparency Directive , , Reference PDF
1 MB
01/06/2022 ESMA50-164-770 Links to national websites where net short positions in shares are disclosed Reference PDF
97.14 KB
04/05/2022 ESMA22-106-4032 SMSG advice to the ESMA Consultation Paper on Guidelines on certain aspects of the MiFID II suitability requirements , SMSG Advice PDF
274.55 KB

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