REFINE YOUR SEARCH
Type of document
|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|21/11/2022||ESMA70-156-6093||Annual Report 2022 Waivers and Deferrals||MiFID - Secondary Markets||Annual Report||PDF
|18/11/2022||ESMA70-156-173||MiFID II list of supplementary deferral regimes||MiFID - Secondary Markets||Reference||XLSX
|17/11/2022||ESMA35-36-2640||Consultation paper on review of the technical standards under Article 34 of MiFID II||MiFID - Investor Protection||Consultation Paper||PDF
|04/11/2022||Net short thresholds||Net short position notification thresholds for sovereign issuers||Short Selling||Reference||XLSX
According to Article 7(2) of the Short Selling Regulation, ESMA has to publish a list of the thresholds applicable to the sovereign issuers for the purpose of the notification to competent authorities of significant net short position in sovereign debt.
The way these notification thresholds are defined is further specified in the Commission Delegated Regulation No 918/2012 (the “DR”). The DR specifies that initial threshold categories shall be:
The additional incremental levels shall be set at 50% of the initial thresholds. The reporting thresholds shall be monetary amounts fixed by applying the percentage thresholds to the outstanding sovereign debt of the sovereign issuer. They will be revised and updated quarterly to reflect changes in the total amount of outstanding sovereign debt of each sovereign issuer.
In addition, the DR states that the amount of outstanding debt should be calculated using a duration adjusted approach. ESMA has published a Q&A document on how to proceed for the duration adjustment.
The table of thresholds contains the name of the sovereign issuer, the amount of outstanding debt duration adjusted, the initial threshold amount and the relevant percentage, the incremental threshold amount and the relevant percentage.
Please note that the figures of the amount of outstanding debt are duration adjusted (not nominal amounts) and are approximations provided by competent authorities.
|31/10/2022||ESMA50-164-772||Links to the national websites explaining the procedures for notifications of net short positions||Short Selling||Reference||PDF
|28/10/2022||ESMA42-112-389||List of extra-judicial mechanisms for consumers complaints (Art. 75 MiFID II)||MiFID - Investor Protection||Reference||PDF
|26/10/2022||ESMA35-43-3109||ESMA Opinion on the product intervention measure relating to futures with additional payment obligations proposed by the Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin)||MiFID - Investor Protection||Opinion||PDF
|26/10/2022||ESMA22-106-4247||SMSG advice in respect of the ESMA Consultation Paper on the Review of the Guidelines on MiFID II product governance requirements||MiFID - Investor Protection, Securities and Markets Stakeholder Group, Supervisory convergence||SMSG Advice||PDF
|24/10/2022||ESMA24-436-1150||Annex to the Opening Statement- 2022 ECON Annual Hearing, 24 October 2022||Board of Supervisors, CCP Directorate, Corporate Information, Innovation and Products, MiFID - Investor Protection, Speeches, Supervisory convergence, Sustainable finance||Reference||PDF
|24/10/2022||ESMA24-436-1425||Verena Ross Opening Statement- 2022 ECON Annual Hearing, 24 October 2022||Board of Supervisors, CCP Directorate, Corporate Information, Innovation and Products, MiFID - Investor Protection, Speeches, Supervisory convergence, Sustainable finance||Statement||PDF
|21/10/2022||Market makers - XLS||Market makers and authorised primary dealers who are using the exemption under the SSR- XLS||Short Selling||Reference||XLSX
|21/10/2022||Market makers - pdf||Market makers and authorised primary dealers who are using the exemption under the SSR- PDF||Short Selling||Reference||PDF
|18/10/2022||ESMA71-99-2040||ACER and ESMA enhance cooperation to strengthen oversight of energy and energy derivative markets||Benchmarks, Market Abuse, Market Integrity, MiFID - Secondary Markets, Post Trading, Press Releases||Reference||PDF
|14/10/2022||ESMA71-319-231||Natasha Cazenave speech at AFME Conference: ESMA’s New Strategic Orientation, 13 October 2022||Innovation and Products, MiFID - Investor Protection, Speeches, Supervisory convergence, Sustainable finance||Speech||PDF
|14/10/2022||ESMA70-145-1090||FIRDS CFI validations- October 2022||MiFID - Secondary Markets||Reference||XLSX
The updates are applicable to financial instruments with specific CFI codes. The changes are flagged in the file and it is possible to compare it with previous versions. The new validation rules will become applicable starting from 06 February 2023 to ensure that reporting entities will adapt to the new changes. The CFI validation document will be kept up to date on ongoing basis.
More information on MiFID II data reporting is available under a specific website section.
|13/10/2022||ESMA35-43-2517||Compliance table on Guidelines on certain aspects of the MiFID II compliance function (ESMA35-36-1952)||Guidelines and Technical standards, MiFID - Investor Protection||Compliance table||PDF
|12/10/2022||ESMA70-145-1090||FIRDS CFI validations||MiFID - Secondary Markets||Reference||XLSX
|04/10/2022||ESMA35-42-1305||ESCPR- Miscellaneous reporting to ESMA||Crowdfunding, MiFID - Investor Protection||Reference||PDF
|27/09/2022||ESMA35-43-3328||Public statement on the impact of inflation in the context of investment services to retail clients||MiFID - Investor Protection||Statement||PDF
|27/09/2022||ESMA70-460-111||Report on the DLT Pilot Regime||Innovation and Products, MiFID - Secondary Markets||Report||PDF