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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
03/10/2013 2013/1400 20 September 2013 meeting of the Principals of the OTC Derivative Regulators Group Post Trading, Press Releases Press Release PDF
86.63 KB

Principals and senior representatives of authorities responsible for the regulation of the over-the-counter (OTC) derivatives markets in Australia, Brazil, the European Union, Hong Kong, Japan, Ontario, Québec, Singapore, Switzerland and the United States met on 20 September 2013 at the headquarters of the European Securities and Markets Authority (ESMA) in Paris.  The Principals and representatives include:  ·         Steven Maijoor, Chair of the European Securities and Markets Authority (ESMA); ·         Greg Medcraft, Chairman of the Australian Securities and Investments Commission; ·         Leonardo Pereira, Chairman of the Comissão de Valores Mobiliários (Brazil); ·         Patrick Pearson, Acting Director at the European Commission; ·         Ashley Alder, Chief Executive Officer of the Hong Kong Securities and Futures Commission; ·         Masamichi Kono, Vice-Commissioner of the Japan Financial Services Agency; ·         Howard Wetston, Chair of the Ontario Securities Commission; ·         Anne Héritier Lachat, Chair of the Swiss Financial Market Supervisory Authority; ·         Gary Gensler, Chairman of the United States Commodity Futures Trading Commission; ·         Mary Jo White, Chair of the United States Securities and Exchange Commission; ·         Chuan Teck Lee, Assistant Managing Director at the Monetary Authority of Singapore; ·         Louis Morisset, President and CEO, l’Autorité des marchés financiers du Québec.  The Principals discussed generally: the application of clearing requirements to foreign branches and affiliates; risk mitigation techniques for non-centrally cleared derivatives transactions, such as timely confirmation, portfolio reconciliation, portfolio compression, valuation and dispute resolution; the need to co-operate in the implementation of internationally agreed standards on margin for non-centrally cleared derivatives transactions; co-operation on equivalence and substituted compliance assessments among the relevant authorities; and co-operation between authorities in the supervision of registered foreign entities;  The Principals agreed to meet again in February to continue the discussion of the above points.
15/10/2009 AMLFT 09 3L3 Press Release on the Committees' compendium paper on the supervisory implementation practices of the Third Money Laundering Directive CESR Archive Press Release PDF
81.42 KB
13/07/2020 ESMA71-99-1352 3rd EU-wide CCP stress test results PR CCP Directorate, Post Trading, Press Releases Press Release PDF
151.99 KB
15/09/2010 10-1128 CESR Chair Tavares welcomes the two new proposals by the Commission for the regulation of derivatives markets and short selling CESR Archive Press Release PDF
106.29 KB
31/01/2007 07-100 CESR Chairs elect the Chair and Vice-Chair of CESR to lead them for the next two years CESR Archive Press Release PDF
82.99 KB
19/01/2010 10-034 CESR introduces new working structures to increase efficiency and to prepare for a smooth transition to ESMA CESR Archive Press Release PDF
185.06 KB
16/07/2010 10-901 CESR Members elect the Chair and Vice Chair of CESR to lead the Committee of European Securities Regulators (CESR) CESR Archive Press Release PDF
136.04 KB
05/04/2007 07-121b annex Conclusions on IFRIC rejection notes CESR Archive Press Release PDF
36.96 KB
11/06/2020 ESMA71-99-1342 Decision Short Selling Reporting Renewal Statement COVID-19, Market Integrity, Press Releases, Short Selling Press Release PDF
83.55 KB
11/11/2015 JC/2015/078 ESAs consult on PRIIPs key information for retail investors Fund Management, Joint Committee, Press Releases Press Release PDF
120.45 KB
29/05/2019 ESMA71-99-1168 ESMA adjusts application of the trading obligation for shares in a no-deal Brexit Brexit, MiFID - Secondary Markets, Press Releases Press Release PDF
87.46 KB
29/05/2019 ESMA71-99-1168 ESMA adjusts application of the trading obligation for shares in a no-deal Brexit Brexit, MiFID - Secondary Markets, Press Releases Press Release PDF
87.46 KB
01/03/2012 2012/140 ESMA advises European Commission on Prospectus Directive’s overhaul- Advice covers possible delegated acts Prospectus, Corporate Disclosure, Press Releases Press Release PDF
115.14 KB
30/07/2015 2015/1238 ESMA advises on extension of AIFMD passport to non-EU jurisdictions Fund Management, Press Releases Press Release PDF
147.48 KB		 The European Securities and Markets Authority (ESMA) has published its Advice in relation to the application of the AIFMD (Alternative Investment Fund Managers Directive) passport to non-EU Alternative Investment Fund Managers (AIFMs) and Alternative Investment Funds (AIFs) and its Opinion on the functioning of the passport for EU AIFMs and the national private placement regimes (NPPRs). The Advice and Opinion, required under AIFMD, will now be considered by the European Commission, Parliament and Council. ESMA Advice – Extension of AIFMD Passport to non-EU AIFMs and AIFs The Advice relates to the possible extension of the passport, currently only available to EU entities, to non-EU AIFMs and AIFs which are currently subject to EU NPPRs. ESMA conducted a country-by-country assessment, as this allowed it flexibility to take into account the different circumstances of each non-EU jurisdiction regarding the regulatory issues to be considered i.e. investor protection, competition, potential market disruption and the monitoring of systemic risk. ESMA assessed six jurisdictions – Guernsey, Hong Kong, Jersey, Singapore, Switzerland and the United States of America (USA) – who were selected based on a number of factors including the amount of activity already being carried out by entities from these countries under the NPPRs, EU national authorities’ knowledge and experience of dealing with their counterparts and the efforts by stakeholders from these countries to engage with ESMA’s process. The Advice concludes that no obstacles exist to the extension of the passport to Guernsey and Jersey, while Switzerland will remove any remaining obstacles with the enactment of pending legislation. No definitive view has been reached on the other three jurisdictions due to concerns related to competition, regulatory issues and a lack of sufficient evidence to properly assess the relevant criteria. Next Steps The Advice and Opinion have been sent to the Commission, Parliament and Council for their consideration on whether to activate the relevant provision in the AIFMD extending the passport through a Delegated Act. However, the institutions may wish to consider waiting until ESMA has delivered positive advice on a sufficient number of non-EU countries, before introducing the passport in order to avoid any adverse market impact that a decision to extend the passport to only a few non-EU countries might have. ESMA aims to finalise the assessments of Hong Kong, Singapore and the USA as soon as practicable and to assess further groups of non-EU countries until it has provided advice on all the non-EU countries that it considers should be included in the extension of the passport. ESMA Opinion – Functioning of the EU AIFMD passport and NPPRs The opinion on the functioning of the EU passport and the NPPRs contains ESMA’s preliminary assessment of the operation of these two mechanisms. Its preliminary view is that, given the short time period that has elapsed since the implementation of the AIFMD in Member States, a definitive assessment of their functioning is difficult and would recommend preparing a further opinion after a longer period.
19/07/2016 2016/1138 ESMA advises on extension of funds passport to 12 non-EU countries Fund Management Press Release PDF
148.97 KB
04/02/2019 ESMA71-99-1107 ESMA agrees no-deal Brexit MOUs with the Bank of England for recognition of UK CCPs and the UK CSD Brexit, Post Trading, Press Releases Press Release PDF
131.3 KB
01/02/2019 ESMA71-99-1096 ESMA and EU securities regulators MoUs with FCA Board of Supervisors, Brexit, Credit Rating Agencies, Fund Management, Press Releases, Trade Repositories Press Release PDF
80.5 KB
14/04/2016 2016/625 ESMA announces EU-wide stress tests for CCPs Post Trading, Press Releases Press Release PDF
168.16 KB
24/03/2021 ESMA71-99-1604 ESMA assesses the compliance with UCITS liquidity rules and highlights areas for vigilance Fund Management, Press Releases Press Release PDF
128.29 KB
01/10/2013 2013/1368 ESMA clarifies reporting requirements for alternative fund managers Fund Management, Press Releases Press Release PDF
81.3 KB		 Questions regarding technical support should be sent to info.it.aifmd[at]esma.europa.eu.

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