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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|20/11/2020||ESMA74-362-932||CP on DRSP criteria for derogation||Post Trading, Supervisory convergence, Trading||Consultation Paper||PDF
|20/11/2020||ESMA74-362-837||CP on DRSP fees||Post Trading, Supervisory convergence, Trading||Consultation Paper||PDF
|24/09/2020||ESMA74-362-773||CP on MiFID II MiFIR review report||Benchmarks, MiFID - Secondary Markets, MiFID II: Transparency Calculations and DVC, Post Trading||Consultation Paper||PDF
|27/03/2020||ESMA74-362-47||CP on the TS on reporting data quality data access and registration of TRs under EMIR REFIT||Post Trading, Supervisory convergence, Trade Repositories||Consultation Paper||PDF
|10/01/2019||ESMA71-99-1081||Press release- ESMA report finds investment product performance highly impacted by charges||MiFID - Investor Protection, Risk Analysis & Economics - Markets Infrastructure Investors||Annual Report||PDF
|23/11/2021||ESMA70-156-4673||Annual Report on MAR administrative and criminal sanctions 2021||Market Abuse||Annual Report||PDF
|15/07/2021||ESMA70-156-3934||Consultation Paper on MAR GLs on delay in the disclosure of inside information and interactions with prudential supervision||Market Abuse||Consultation Paper||PDF
|01/04/2020||ESMA70-156-2287||Technical Advice to the European Commission on weekly position reports under MiFID II||MiFID - Secondary Markets, Supervisory convergence||Technical Advice||PDF
|03/10/2019||ESMA70-156-1459||Consultation paper MAR review||Market Abuse||Consultation Paper||PDF
|26/03/2020||ESMA70-151-2852||Consultation Report PTRR Services- Article 85(3a) of EMIR||Post Trading, Supervisory convergence||Consultation Paper||PDF
|02/04/2020||ESMA70-151-2823||ESMA Report to the European Commission on Central Clearing Obligations for PSA- No 1||Joint Committee, Post Trading, Supervisory convergence||Consultation Paper||PDF
|15/11/2018||ESMA70-145-1081||Annual report on administrative and criminal sanctions and other administrative measures under MAR||Market Abuse, Market Integrity||Annual Report||PDF
|10/01/2019||ESMA50-165-731||ESMA annual statistical report on performance and costs of retail investment products in the EU||MiFID - Investor Protection, Risk Analysis & Economics - Markets Infrastructure Investors||Annual Report||PDF
|29/09/2017||70-145-105||Draft Guidelines on non-significant benchmarks||Benchmarks, Guidelines and Technical standards||Consultation Paper||PDF
|02/06/2016||2016/773||Discussion Paper on the Distributed Ledger Technology Applied to Securities Markets||Innovation and Products, Risk Analysis & Economics - Markets Infrastructure Investors||Consultation Paper||PDF
|31/05/2016||2016/732||Guidelines on participant default rules and procedures under CSDR||Guidelines and Technical standards, Post Trading||Consultation Paper||PDF
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.
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.
ESMA will consider the feedback it will receive to this consultation with a view to finalising the guidelines by Q4 2016.
|30/03/2016||2016/444||CP on MAR GL on information on commodities||Market Abuse||Consultation Paper||PDF
|28/01/2016||2016/162||Consultation paper- Draft Guidelines on the Market Abuse Regulation||Market Abuse, Market Integrity||Consultation Paper||PDF
|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||Guidelines and Technical standards, MiFID - Investor Protection||Consultation Paper||PDF
|03/02/2015||2015/224||ESMA’s technical advice on possible delegated acts concerning the Market Abuse Regulation||Market Abuse||Technical Advice||PDF
|This advice:• specifies the MAR market manipulation indicators, by providing examples of practices that may constitute market manipulation as well as proposing “additional” indicators of market manipulation; • recommends to set the minimum thresholds that exempt certain market participants in the emission allowance market from publicly disclosing inside information at six million tonnes of CO2eq per year and at 2,430 MW rated thermal input;• suggests the way to determine to which regulator delays in disclosure of inside information needs to be notified. • provides clarifications on the enhanced disclosure of managers’ transactions. - ESMA recommends disclosing any acquisition, disposal, subscription or exchange of financial instruments of the relevant issuer or related financial instruments carried out by managers,, further illustrated through a non-exhaustive list of types of transactions subject to this obligation. . ESMA also clarifies the transactions that can be allowed by the issuer during a closed period when normally managers are prohibited to trade; and• proposes procedures and arrangements to ensure sound whistleblowing infrastructures – i.e. EU national regulators should allow the receipt of reports of infringements, including appropriate communication channels and guarantee the protection of reporting and reported persons, with respect to their identity and their personal data. Next steps ESMA has sent its technical advice to the European Commission for its consideration in drafting its implementing standards regarding MAR. ESMA’s regulatory technical standards regarding MAR will be delivered in July 2015.|