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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
27/05/2019 ESMA70-151-1985 Consultation paper on Guidelines for reporting under Articles 4 and 12 SFTR Consultation Paper PDF
1.32 MB
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.

03/12/2010 10-1459 Call for evidence- Implementing measures on the Alternative Investment Fund Managers Directive Consultation Paper PDF
92.68 KB
18/11/2010 10-1253 Consultation Paper: CESR’s Guidelines on Risk Measurement and the Calculation of Global Exposure for certain types of structured UCITS Consultation Paper PDF
205.28 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 10-530 Consultation paper- Guidelines on the selection and presentation of performance scenarios in the Key Investor Information document for structured UCITS Consultation Paper PDF
171.6 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
20/07/2010 10-532 Consultation paper- A guide to clear language and layout for the Key Investor Information document Consultation Paper PDF
152.51 KB
20/07/2010 10-794 Consultation paper- Template for the Key Investor Information document Consultation Paper PDF
133.42 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
19/07/2010 10-610 Consultation paper- Standardisation and exchange trading of OTC derivatives Consultation Paper PDF
288.76 KB
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
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
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
07/05/2010 10-510 Consultation paper- CESR Technical Advice to the European Commission in the Context of the MiFID Review: Non-equity markets transparency Consultation Paper PDF
220.04 KB
23/04/2010 10-411 Consultation paper on proposed amendments to CESR’s recommendations for the consistent implementation of the Prospectuses Regulation regarding mineral companies Consultation Paper PDF
335.81 KB
19/04/2010 10-108 Consultation paper- CESR’s Guidelines on Risk Measurement and the Calculation of Global Exposure and Counterparty Risk for UCITS Consultation Paper PDF
648.11 KB
13/04/2010 10-417 Consultation paper- CESR technical advice in the context of the MiFID review –Investor Protection and Intermediaries Consultation Paper PDF
669.76 KB
13/04/2010 10-292 Consultation paper- CESR technical advice in the context of the MiFID review –Transaction Reporting Consultation Paper PDF
373.97 KB
13/04/2010 10-394 Consultation Paper- CESR technical advice to the Commission in the context of the MiFID Review- Equity Markets Consultation Paper PDF
714.52 KB

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