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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
23/04/2020 JC 2020 16 Joint ESA consultation on ESG disclosures , Consultation Paper PDF
911.13 KB
09/07/2020 ESMA74-362-608 Guidelines on calculation of positions in SFTs by Trade Repositories , Consultation Paper PDF
799.81 KB
28/05/2021 ESMA74-362-1941 Consultation Paper on the Guidelines on transfer of data between Trade Repositories under EMIR and SFTR , , Consultation Paper PDF
658.69 KB
27/05/2019 ESMA70-151-1985 Consultation paper on Guidelines for reporting under Articles 4 and 12 SFTR Consultation Paper PDF
1.32 MB
01/10/2019 ESMA63-313-528 Financial Regulation of the European Securities and Markets Authority , Decision PDF
445.94 KB
13/07/2018 ESMA31-62-996 Consultation Paper on Guidelines on Risk Factors Consultation Paper PDF
833.24 KB
13/07/2018 ESMA31-62-962 Consultation Paper on minimum information content for prospectus exemption Consultation Paper PDF
1.6 MB
05/11/2020 ESMA30-379-325 Consultation Paper- Draft advice to EC under Article 8 of the Taxonomy Regulation Consultation Paper PDF
1.79 MB
01/12/2004 Addendum 2004/39/EC Addendum to the formal request for technical advice on possible implementing measures on the Directive on Markets in Financial Instruments (Directive 2004/39/EC. Consultation Paper PDF
114.41 KB
23/03/2005 Addendum Addendum to the Formal Request for Technical Advice on Possible Implementing Measures for the Markets in Financial Instruments Directive Consultation Paper PDF
307.55 KB
01/09/2008 3L3 Commission consultation The 3 Level 3 Committees’ Joint Response to the European Commission’s Public Consultation Paper on Amendments to Commission Decisions establishing CESR, CEBS & CEIOPS Consultation Paper PDF
48.36 KB
30/09/2016 2016/1409 Draft RTS and ITS under SFTR and amendments to related EMIR RTS , Consultation Paper PDF
5.63 MB

The European Securities and Markets Authority (ESMA) is publishing this Consultation Paper as part of its consultations on Level 2 measures under the Securities Financing Transactions Regulation (SFTR) as well as certain amendments to the Level 2 measures under EMIR in order to take into account legal developments as well as to ensure consistency, where relevant, between the frameworks of both regulations

Contents

Section 1 is the executive summary of the document. Section 2 explains the background to our proposals. Section 3 includes detailed information on the procedure and criteria for registration as TR under SFTR. Section 4 details the use of internationally agreed reporting standards, the reporting logic under SFTR and the main aspects of the structure of an SFT report. Section 5 covers the requirements regarding transparency of data and aggregation and comparison of data. Section 6 details the access levels of authorities. Section 7 contains the tables of fields, for the relevant types of SFTs, as well as a summary of all the questions.

Next Steps

ESMA will consider the feedback it received to this document in the fourth quarter of 2016. The final report and the draft technical standards will be submitted to the European Commission for endorsement by the end of Q1/beginning Q2 2017.

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
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
20/07/2010 10-794 Consultation paper- Template for the Key Investor Information document Consultation Paper PDF
133.42 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 10-672 Consultation paper- Guidelines for the transition from the Simplified Prospectus to the Key Investor Information document Consultation Paper PDF
140.16 KB
19/07/2010 10-610 Consultation paper- Standardisation and exchange trading of OTC derivatives Consultation Paper PDF
288.76 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
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

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