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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
03/10/2018 ESMA71-99-1046 WP 2019 Press Release , , Press Release PDF
282.94 KB
15/06/2005 05-415 annex Visit of US Treasury Secretary John Snow to CESR- photograph Press Release PDF
1.87 MB
From left to right: US Treasure Secretary John Snow, CESR Chairman Arthur Docters van Leeuwen, CESR Vice-Chairman Kaarlo J
09/06/2010 10-333 Technical Advice- The Equivalence between the Japanese Regulatory and Supervisory Framework and the EU Regulatory Regime for Credit Rating Agencies , Technical Advice PDF
4.59 MB
24/01/2014 2013/1965 Technical Advice to the Commission on procedural rules to impose fines and periodic penalty payments to Trade Repositories Technical Advice PDF
385.87 KB

Reasons for publication On 29 of April 2013 ESMA received a formal request from the European Commission (the Commission) to provide technical advice to assist the Commission in formulating procedural rules to impose fines and periodic penalty payments to trade repositories (TRs) by delegated act. In order to deliver its advice to the Commission, ESMA consulted market participants regarding the procedural rules to impose fines and periodic penalty payments to TRs. Respondents to the consultation were encouraged to provide the relevant information in support of their arguments or proposals. ESMA published the consultation on 18 October 2013. The market participants could provide their comments until 15 November 2013. In total ESMA received two responses to the consultation. The respondents have required confidential treatment for their input. ESMA would like to thank respondents for providing input. Contents This document sets out a summary of the responses received by ESMA regarding the procedural rules to impose fines and periodic penalty payments to TRs and includes ESMA’s final technical advice to the Commission on the future Regulation on the procedural rules to impose fines and periodic penalty payments to TRs which will be adopted by the Commission in the form of a delegated act. It is worth noting that all major ESMA proposals were supported by respondents and where comments were received ESMA has considered them carefully. Next steps ESMA will follow-up on this work with the Commission towards the adoption of the Commission delegated regulation on procedural rules to impose fines and periodic penalty payments to TRs.

03/09/2013 2013/1157 Technical advice on third country regulatory equivalence under EMIR – US Technical Advice PDF
5.06 MB
03/09/2013 2013/1162 Technical advice on third country regulatory equivalence under EMIR – Switzerland Technical Advice PDF
3.65 MB
03/09/2013 2013/1161 Technical advice on third country regulatory equivalence under EMIR – Singapore Technical Advice PDF
3.55 MB
03/09/2013 2013/1158 Technical advice on third country regulatory equivalence under EMIR – Japan Technical Advice PDF
3.76 MB
03/09/2013 2013/1160 Technical advice on third country regulatory equivalence under EMIR – Hong Kong Technical Advice PDF
3.57 MB
03/09/2013 2013/1159 Technical advice on third country regulatory equivalence under EMIR – Australia Technical Advice PDF
3.82 MB
11/11/2019 ESMA70-151-2649 Technical advice on comparable compliance Technical Advice PDF
790.06 KB
03/05/2004 04-207 Summary of the responsibilities of the new authorities joining CESR. Annex to Press Release ref:CESR/04-203 Press Release PDF
120.94 KB
18/02/2016 2015/SMSG/036 SMSG Advice on ESEF , SMSG Advice PDF
109.63 KB
09/03/2006 06-107 Public statement- Update on CESR’s dialogue with Credit Rating Agencies to review how the IOSCO code of conduct is being implemented Press Release PDF
525.34 KB
06/07/2006 06-220 Public statement- Update on CESR’s dialogue with Credit Rating Agencies to review how the IOSCO code of conduct is being implemented Press Release PDF
3.79 MB
24/08/2007 07-564 Public statement- Publication of the responses received to CESR’s questionnaire regarding the rating of structured finance instruments and extension of the deadline Press Release PDF
72.76 KB
15/05/2007 07-304 Public statement- Progress Report on CESR’s dialogue with CRAs to review how the IOSCO code of conduct is being implemented Press Release PDF
465.25 KB
26/10/2007 07-627b Public Statement- New arrangements for the reporting of derivatives trades in accordance with MiFID Press Release PDF
260.49 KB
01/08/2005 05-502 Public statement- Follow-up work of the CESR/ESCB Joint Working Group on Clearing and Settlement Press Release PDF
54.1 KB
20/01/2009 09-069 Public statement- CESR’s activities in relation to short-selling Press Release PDF
61.6 KB
EU securities regulators are closely monitoring the functioning of the markets under the current circumstances and are considering together possible actions which might be taken to contribute to orderly functioning of the markets from the angle of short-selling.

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