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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
29/09/2017 70-145-105 Draft Guidelines on non-significant benchmarks , Consultation Paper PDF
557.29 KB
28/10/2016 2016/1529 Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body and key function holders , Consultation Paper PDF
1.13 MB
31/05/2016 2016/732 Guidelines on participant default rules and procedures under CSDR , Consultation Paper PDF
450.56 KB

The European Securities and Markets Authority (ESMA) under Article 41(4) of Regulation (EU) No 909/2014 of the European Parliament and of the Council on improving securities settlement in the European Union and on central securities depositories and amending Directives 98/26/EC and 2014/65/EU and Regulation No 236/2012 (CSDR) may issue guidelines in accordance with Article 16 of Regulation (EU) No 1095/2010 in order to ensure consistent application of Article 41 of CSDR relating to participant default rules and procedures.

Contents

Section 2 contains information on the background and mandate, Section 3 contains an analysis of the scope and content of the proposed guidelines, while Section 4 contains the proposed guidelines.

Annex I sets out a summary of the questions contained in this paper and Annex II includes a high level cost-benefit analysis for the guidelines.

Next Steps

ESMA will consider the feedback it will receive to this consultation with a view to finalising the guidelines by Q4 2016.

03/12/2010 10-1459 Call for evidence- Implementing measures on the Alternative Investment Fund Managers Directive Consultation Paper PDF
92.68 KB
18/11/2010 10-1253 Consultation Paper: CESR’s Guidelines on Risk Measurement and the Calculation of Global Exposure for certain types of structured UCITS Consultation Paper PDF
205.28 KB
02/08/2010 10-791c Consultation paper- Development of Pan-European Access to Financial Information Disclosed by Listed Companies Consultation Paper PDF
466.17 KB
20/07/2010 10-530 Consultation paper- Guidelines on the selection and presentation of performance scenarios in the Key Investor Information document for structured UCITS Consultation Paper PDF
171.6 KB
20/07/2010 10-672 Consultation paper- Guidelines for the transition from the Simplified Prospectus to the Key Investor Information document Consultation Paper PDF
140.16 KB
20/07/2010 10-532 Consultation paper- A guide to clear language and layout for the Key Investor Information document Consultation Paper PDF
152.51 KB
20/07/2010 10-794 Consultation paper- Template for the Key Investor Information document Consultation Paper PDF
133.42 KB
19/07/2010 10-809 Consultation paper- Transaction Reporting on OTC Derivatives and Extension of the Scope of Transaction Reporting Obligations Consultation Paper PDF
143.71 KB
19/07/2010 10-610 Consultation paper- Standardisation and exchange trading of OTC derivatives Consultation Paper PDF
288.76 KB
12/07/2010 10-831 Consultation paper- CESR Technical Advice to the European Commission in the context of the MiFID Review – Client Categorisation Consultation Paper PDF
258.18 KB
17/05/2010 10-536 Consultation paper- Guidance on the Enforcement Practices and Activities to be Conducted under Article 21.3(a) of the Regulation Consultation Paper PDF
205.65 KB
17/05/2010 10-537 Consultation paper- Guidance on Common Standards for Assessment of Compliance of Credit Rating Methodologies with the Requirements set out in Article 8(3) Consultation Paper PDF
214.09 KB
07/05/2010 10-510 Consultation paper- CESR Technical Advice to the European Commission in the Context of the MiFID Review: Non-equity markets transparency Consultation Paper PDF
220.04 KB
23/04/2010 10-411 Consultation paper on proposed amendments to CESR’s recommendations for the consistent implementation of the Prospectuses Regulation regarding mineral companies Consultation Paper PDF
335.81 KB
19/04/2010 10-108 Consultation paper- CESR’s Guidelines on Risk Measurement and the Calculation of Global Exposure and Counterparty Risk for UCITS Consultation Paper PDF
648.11 KB
13/04/2010 10-417 Consultation paper- CESR technical advice in the context of the MiFID review –Investor Protection and Intermediaries Consultation Paper PDF
669.76 KB
13/04/2010 10-292 Consultation paper- CESR technical advice in the context of the MiFID review –Transaction Reporting Consultation Paper PDF
373.97 KB

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