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|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
|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
|16/10/2019||JC-2019-63||Consultation Paper on amendments to PRIIPs KID||Fund Management, Joint Committee||Consultation Paper||PDF
|12/07/2019||ESMA31-62-1239||Consultation Paper on Guidelines on prospectus disclosure||Prospectus||Consultation Paper||PDF
|10/04/2019||JC 2019 26||Joint ESA advice on the need for legislative improvements relating to ICT risk management requirements||Innovation and Products, Joint Committee||Technical Advice||PDF
|10/04/2019||JC 2019 25||Joint ESA advice on the costs and benefits of developing a coherent cyber resilience testing framework for significant market participants and infrastructures||Innovation and Products, Joint Committee||Technical Advice||PDF
|15/12/2017||ESMA31-62-802||Consultation Paper on draft RTS under the new Prospectus Regulation||Prospectus||Consultation Paper||PDF
|29/09/2017||70-145-105||Draft Guidelines on non-significant benchmarks||Benchmarks, Guidelines and Technical standards||Consultation Paper||PDF
|06/07/2017||ESMA31-62-532||Draft technical advice on format and content of the prospectus||Prospectus||Consultation Paper||PDF
|06/07/2017||ESMA31-62-649||Draft technical advice on content and format of the EU Growth prospectus||Prospectus||Consultation Paper||PDF
|06/07/2017||ESMA31-62-650||Draft technical advice on scrutiny and approval of the prospectus||Prospectus||Consultation Paper||PDF
|19/12/2016||JC/2016/86||Joint Committee Discussion Paper on the Use of Big Data by Financial Institutions||Joint Committee||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
|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.
|04/12/2015||JC/2015/080||Discussion Paper on automation in financial advice||Joint Committee||Consultation Paper||PDF
|11/11/2015||JC/2015/073||Consultation Paper PRIIPs Key Information Documents||Fund Management, Joint Committee||Consultation Paper||PDF
|21/10/2015||JC/2015/060||Joint Consultation on Guidelines on AML_CFT RBS_Art 48(10)||Joint Committee||Consultation Paper||PDF
|23/06/2015||JC/DP/2015/01 reply form||Response form to joint Discussion Paper on PRIIPS||Fund Management, Joint Committee||Consultation Paper||DOCX
|23/06/2015||JC/DC/2015/01||Technical Discussion Paper (DP) on the PRIIPs Key Information Document (KID)||Fund Management, Joint Committee||Consultation Paper||PDF
|EBA, EIOPA, and ESMA (the ESAs) welcome comments on this Technical Discussion Paper on Risk, Performance Scenarios and Cost Disclosures in Key Information Documents for Packaged Retail and Insurance-based Investment Products (PRIIPs). The discussion paper is available on the websites of the three ESAs. Comments on this discussion paper can be sent using the response form, via the ESMA website under the heading ‘Your input/Consultations’ by 17 August 2015. Contributions not received in Word, or sent to an email address, or after the deadline, will not be processed. It is important to note that although you may not be able to respond to each and every question, the ESAs would encourage partial responses from stakeholders on those questions that they believe are most relevant to them. Publication of responses All contributions received will be published following the close of the consultation, unless you request otherwise. A standard confidentiality statement in an email message will not be treated as a request for non-disclosure. A confidential response may be requested from us in accordance with the ESAs’ rules on public access to documents. We may consult you if we receive such a request. Any decision we make not to disclose the response is reviewable by the Board of Appeal of the ESAs and the European Ombudsman. Data protection Information on data protection can be found on the different ESAs’ websites under the heading ‘Legal notice’.|
|23/12/2014||JC/DP/2014/01||Discussion Paper- The Use of Credit Ratings by Financial Intermediaries Article 5(a) of the CRA Regulation||Credit Rating Agencies, Joint Committee||Consultation Paper||PDF