ESMA LIBRARY
The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
111
REFINE YOUR SEARCH
Sections
- (-) Remove Post Trading filter Post Trading
- (-) Remove Joint Committee filter Joint Committee
- (-) Remove Market Integrity filter Market Integrity
- (-) Remove Short Selling filter Short Selling
- CESR Archive (293) Apply CESR Archive filter
- Fund Management (46) Apply Fund Management filter
- Credit Rating Agencies (39) Apply Credit Rating Agencies filter
- MiFID - Investor Protection (34) Apply MiFID - Investor Protection filter
- MiFID - Secondary Markets (33) Apply MiFID - Secondary Markets filter
- CCP Directorate (22) Apply CCP Directorate filter
- Corporate Disclosure (21) Apply Corporate Disclosure filter
- Prospectus (17) Apply Prospectus filter
- Market Abuse (14) Apply Market Abuse filter
- Benchmarks (10) Apply Benchmarks filter
- Securitisation (9) Apply Securitisation filter
- Trading (9) Apply Trading filter
- Innovation and Products (7) Apply Innovation and Products filter
- Supervisory convergence (6) Apply Supervisory convergence filter
- Transparency (6) Apply Transparency filter
- Market data (4) Apply Market data filter
- Securities Financing Transactions (4) Apply Securities Financing Transactions filter
- Trade Repositories (4) Apply Trade Repositories filter
- Corporate Governance (3) Apply Corporate Governance filter
- Guidelines and Technical standards (3) Apply Guidelines and Technical standards filter
- IFRS Supervisory Convergence (3) Apply IFRS Supervisory Convergence filter
- Corporate Finance (2) Apply Corporate Finance filter
- Risk Analysis & Economics - Markets Infrastructure Investors (2) Apply Risk Analysis & Economics - Markets Infrastructure Investors filter
- Sustainable finance (2) Apply Sustainable finance filter
- COVID-19 (1) Apply COVID-19 filter
- Crowdfunding (1) Apply Crowdfunding filter
- European Single Electronic Format (1) Apply European Single Electronic Format filter
- MiFID II: Transparency Calculations and DVC (1) Apply MiFID II: Transparency Calculations and DVC filter
Type of document
- (-) Remove Consultation Paper filter Consultation Paper
- (-) Remove Technical Advice filter Technical Advice
- (-) Remove CESR Document filter CESR Document
- Reference (247) Apply Reference filter
- Speech (169) Apply Speech filter
- Guidelines & Recommendations (118) Apply Guidelines & Recommendations filter
- Final Report (94) Apply Final Report filter
- Investor Warning (93) Apply Investor Warning filter
- Press Release (71) Apply Press Release filter
- Opinion (66) Apply Opinion filter
- Statement (63) Apply Statement filter
- Letter (61) Apply Letter filter
- Report (47) Apply Report filter
- Q&A (16) Apply Q&A filter
- Decision (15) Apply Decision filter
- Compliance table (12) Apply Compliance table filter
- Summary of Conclusions (11) Apply Summary of Conclusions filter
- Technical Standards (11) Apply Technical Standards filter
- Annual Report (5) Apply Annual Report filter
- SMSG Advice (4) Apply SMSG Advice filter
Your filters
Speeches X Warnings and publications for investors X Careers X Joint Committee X Market Integrity X Short Selling X Post Trading X Technical Advice X CESR Document X Consultation Paper X
Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 20/04/2012 | 2012/236 | ESMA's Technical Advice on possible delegated acts of the short-selling and certain aspects of CDS | Short Selling, Market Integrity | Technical Advice | PDF 509.39 KB |
||||
| 07/05/2012 | 2012/278 | Call for evidence on Transaction reporting | Market Integrity | Consultation Paper | PDF 286 KB |
This call for evidence seeks to collect interested parties’ views on what elements ESMA should consider in its work on guidelines on harmonised transaction reporting, as well as opinions on what areas of the OTC derivatives guidelines need to be updated. On the basis of responses received to this call for evidence, ESMA will define its further work on guidelines on harmonised transaction reporting and launch a full public consultation. | |||
| 24/01/2012 | 2012/30 | Draft technical standards on the Regulation (EU) xxxx/2012 of the European Parliament and of the Council on short selling and certain aspects of credit default swaps | Short Selling | Consultation Paper | PDF 245.84 KB |
ESMA will consider the feedback it received to this consultation in February/March 2012 and expects to publish a final report and submission of the draft technical standards to the European Commission by 31 March 2012 for endorsement. | |||
| 25/06/2012 | 2012/379 | Draft Technical Standards for the Regulation on OTC Derivatives, CCPs and Trade Repositories | Post Trading | Consultation Paper | PDF 2.12 MB |
This consultation paper includes the Regulatory and Implementing Technical Standards ESMA is required to draft under the Regulation of the European Parliament and Council on OTC derivatives, central counterparties and trade repositories (EMIR). It covers implementing measures for the application of the clearing obligation for risk mitigation techniques, exemptions for non-financial counterparties and intra-group transactions, requirements for CCPs and reporting and disclosure obligations for trade repositories. |
|||
| 17/09/2012 | 2012/580 | Exemption for market making activities and primary market operations under Regulation (EU) 236/2012 of the European Parliament and the Council on short selling and certain aspects of Credit Default Swaps | Short Selling | Consultation Paper | PDF 307.31 KB |
||||
| 20/12/2012 | 2012/852 | Guidelines for establishing consistent, efficient and effective assessments of interoperability arrangements | Post Trading | Consultation Paper | PDF 445.22 KB |
||||
| 16/02/2012 | 2012/95 | Draft Technical Standards for the Regulation on OTC Derivatives, CCPs and Trade Repositories | Post Trading | Consultation Paper | PDF 776.04 KB |
The Regulation of the European Parliament and Council on OTC Derivatives, CCPs and trade repositories (EMIR) introduces provisions to improve transparency and reduce the risks associated with the OTC derivatives market and establishes common rules for central counterparties (CCPs) and for trade repositories (TRs). It has been identified that common rules are required in the case of CCPs in view of the shift of risk management from a bilateral to a central process for OTC derivatives and in the case of trade repositories because of the increase in information that needs to be reported to them. The Regulation delegates or confers powers to the Commission to adopt regulatory technical standards (RTS) and implementing technical standards (ITS) on a number of areas. This discussion paper covers the draft RTS and ITS which ESMA is required to develop. Following this discussion paper and on the basis of the relevant input received, ESMA will prepare draft technical standards to be included in the consultation paper which will most likely be published around summer 2012. | |||
| 15/02/2012 | 2012/98 | ESMA's draft technical advice on possible Delegated Acts concerning the regulation on short selling and certain aspects of credit default swaps ((EC) No XX/2012) | Short Selling | Consultation Paper | PDF 429.17 KB |
The purpose of this consultation is to seek comments on the technical advice that ESMA proposes to give to the European Commission on a number of possible delegated acts concerning the Regulation as listed in the Commission request for advice. These delegated acts should then be adopted in accordance with Article 290 of the Treaty of the Functioning of the European Union (TFEU). ESMA will consider the feedback it receives to this consultation and to the open hearing to be held on 29 February 2012 in March 2012 and expects to publish a final report and submission of the draft advice on Delegated Acts to the European Commission by mid-April 2012. | |||
| 03/06/2013 | 2013-614 | ESMA’s technical advice on short selling regulation | Short Selling | Technical Advice | PDF 2.3 MB |
Final Report 2013/614 ESMA‘s technical advice on the evaluation of the Regulation (EU) 236/2012 of the European Parliament and of the Council on short selling and certain aspects of credit default swaps | |||
| 03/09/2013 | 2013/1157 | Technical advice on third country regulatory equivalence under EMIR – US | Post Trading | Technical Advice | PDF 5.06 MB |
||||
| 03/09/2013 | 2013/1158 | Technical advice on third country regulatory equivalence under EMIR – Japan | Post Trading | Technical Advice | PDF 3.76 MB |
||||
| 03/09/2013 | 2013/1159 | Technical advice on third country regulatory equivalence under EMIR – Australia | Post Trading | Technical Advice | PDF 3.82 MB |
||||
| 03/09/2013 | 2013/1160 | Technical advice on third country regulatory equivalence under EMIR – Hong Kong | Post Trading | Technical Advice | PDF 3.57 MB |
||||
| 03/09/2013 | 2013/1161 | Technical advice on third country regulatory equivalence under EMIR – Singapore | Post Trading | Technical Advice | PDF 3.55 MB |
||||
| 03/09/2013 | 2013/1162 | Technical advice on third country regulatory equivalence under EMIR – Switzerland | Post Trading | Technical Advice | PDF 3.65 MB |
||||
| 18/10/2013 | 2013/1292 | ESMA’s Technical Advice to the Commission on procedural rules to impose fines on Trade Repositories | Post Trading | Consultation Paper | PDF 1.52 MB |
The European Securities and Markets Authority (ESMA) is publishing this consultation paper to assist with the preparation of its Technical Advice to the European Commission on the procedural rules for imposing fines and periodic penalties on Trade Repositories. The Commission requested ESMA's advice on 29 April 2013 to assist it in formulating procedural rules by delegated act. (Annex I) The closing date for responses is 15 November 2013 and ESMA aims to provide its advice to the Commission by 31 December 2013. |
|||
| 02/10/2013 | 2013/1369 | ESMA Technical advice on equivalence of Hong Kong for OTC and TR (Supplement) | Post Trading | Technical Advice | PDF 124.15 KB |
||||
| 02/10/2013 | 2013/1371 | ESMA Technical advice on equivalence of South Korea for CCPs | Post Trading | Technical Advice | PDF 1.83 MB |
||||
| 02/10/2013 | 2013/1372 | ESMA Technical advice on equivalence of Singapore for TRs (Supplement) | Post Trading | Technical Advice | PDF 500.37 KB |
||||
| 14/11/2013 | 2013/1649 | ESMA’s policy orientations on possible implementing measures under the Market Abuse Regulation | Market Abuse, Market Integrity | Consultation Paper | PDF 950.26 KB |
The European Securities and Markets Authority (ESMA) has published a Discussion Paper setting out its initial views on the implementing measures it will have to develop for the new Market Abuse Regulation (MAR). MAR aims to enhance market integrity and investor protection. It will achieve this by updating and strengthening the existing market abuse framework, by extending its scope to new markets and trading strategies, and by introducing new requirements. The Discussion Paper presents positions and regulatory options on those issues where ESMA will have to develop MAR implementing measures, likely to include Regulatory Technical Standards, Delegated Acts and Guidelines. These implementing measures are of fundamental importance to the new regime, as they set out how MAR’s enlarged scope is to be implemented in practice by market participants, trading platforms, investors, issuers and persons related to financial markets. In developing these regulatory options ESMA, where similar requirements already exist under the current Market Abuse Directive (MAD), has taken into consideration the existing MAD Level 2 texts and ESMA/CESR guidelines to set out the DP positions in light of the extended scope of MAR. This Discussion Paper is based on the version of the MAR Level 1 text agreed by the European Parliament, the Council and the European Commission on 24 June 2013. Consultation Reference 2013/1649 Closing date for responses Monday, 27 January 2014 Contact market.integrity[at]esma.europa.eu |