ESMA LIBRARY
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Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
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| 14/04/2011 | 2011/114 | Consultation paper- ESMA´s Technical Advice to the Commission on Fees for CRA Supervision | Credit Rating Agencies | Consultation Paper | PDF 95.52 KB |
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| 26/05/2011 | 2011/155 | Call for evidence- assessment of compliance of credit rating agencies with Article 8.3 of the Credit Rating Agencies Regulation (1060/2009/EC) | Credit Rating Agencies | Consultation Paper | PDF 69.4 KB |
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| 26/05/2011 | 2011/156 | Call for evidence- ratings data periodic reporting requirements for CRAs according to Article 21 (3)(e) of the Draft Amended CRA Regulation | Credit Rating Agencies | Consultation Paper | PDF 88.95 KB |
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| 19/09/2011 | 2011/302 | Consultation paper- Regulatory technical standards on the information to be provided to ESMA by a credit rating agency in its application for registration and certification and for the assessment of its systemic importance | Credit Rating Agencies | Consultation Paper | PDF 276.02 KB |
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| 19/09/2011 | 2011/303 | Consultation paper- Regulatory technical standards on the assessment of compliance of credit rating method-ologies with the requirements set out in Article 8(3) of Regulation (EC) No 1060/2009 | Credit Rating Agencies | Consultation Paper | PDF 374.84 KB |
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| 19/09/2011 | 2011/304 | Consultation paper- ESMA’s draft Regulatory Technical Standards on the presentation of the information that credit rating agencies shall disclose in accordance with Article 11(2) and point 1 of Part II of Section E of Annex I to Regulation (EC) No 1060/2 | Credit Rating Agencies | Consultation Paper | PDF 182.29 KB |
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| 19/09/2011 | 2011/305 | Consultation paper- ESMA’s Draft Regulatory Technical Standards on the content and format of ratings data periodic reporting to be submitted from credit rating agencies | Credit Rating Agencies | Consultation Paper | PDF 264 KB |
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| 22/12/2011 | 2011/445 | Consultation paper on guidelines on certain aspects of the MiFID suitability requirements | MiFID - Investor Protection | Consultation Paper | PDF 355.06 KB |
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| 22/12/2011 | 2011/446 | Consultation paper on guidelines on certain aspects of the MiFID compliance function requirements | MiFID - Investor Protection | Consultation Paper | PDF 393.94 KB |
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| 14/01/2011 | 2011/5 | Call for evidence- criteria for endorsement (Article 21 (2)(a) of the draft amended CRA Regulation) | Credit Rating Agencies | Consultation Paper | PDF 218.02 KB |
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| 18/03/2011 | 2011/97 | Consultation paper- ESMA Guidelines on the application of the endorsement regime under Article 4 (3) of the Credit Rating Regulation1060/2009 | Credit Rating Agencies | Consultation Paper | PDF 273.66 KB |
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| 07/05/2012 | 2012/278 | Call for evidence on Transaction reporting | Market Integrity | Consultation Paper | PDF 286 KB |
This call for evidence seeks to collect interested parties’ views on what elements ESMA should consider in its work on guidelines on harmonised transaction reporting, as well as opinions on what areas of the OTC derivatives guidelines need to be updated. On the basis of responses received to this call for evidence, ESMA will define its further work on guidelines on harmonised transaction reporting and launch a full public consultation. | |||
| 25/06/2012 | 2012/379 | Draft Technical Standards for the Regulation on OTC Derivatives, CCPs and Trade Repositories | Post Trading | Consultation Paper | PDF 2.12 MB |
This consultation paper includes the Regulatory and Implementing Technical Standards ESMA is required to draft under the Regulation of the European Parliament and Council on OTC derivatives, central counterparties and trade repositories (EMIR). It covers implementing measures for the application of the clearing obligation for risk mitigation techniques, exemptions for non-financial counterparties and intra-group transactions, requirements for CCPs and reporting and disclosure obligations for trade repositories. |
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| 17/09/2012 | 2012/570 | Guidelines on remuneration policies and practices (MiFID) | MiFID - Investor Protection | Consultation Paper | PDF 508.33 KB |
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| 20/12/2012 | 2012/841 | Guidelines and recommendations on the scope of the CRA Regulation | Credit Rating Agencies | Consultation Paper | PDF 255.36 KB |
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| 20/12/2012 | 2012/852 | Guidelines for establishing consistent, efficient and effective assessments of interoperability arrangements | Post Trading | Consultation Paper | PDF 445.22 KB |
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| 16/02/2012 | 2012/95 | Draft Technical Standards for the Regulation on OTC Derivatives, CCPs and Trade Repositories | Post Trading | Consultation Paper | PDF 776.04 KB |
The Regulation of the European Parliament and Council on OTC Derivatives, CCPs and trade repositories (EMIR) introduces provisions to improve transparency and reduce the risks associated with the OTC derivatives market and establishes common rules for central counterparties (CCPs) and for trade repositories (TRs). It has been identified that common rules are required in the case of CCPs in view of the shift of risk management from a bilateral to a central process for OTC derivatives and in the case of trade repositories because of the increase in information that needs to be reported to them. The Regulation delegates or confers powers to the Commission to adopt regulatory technical standards (RTS) and implementing technical standards (ITS) on a number of areas. This discussion paper covers the draft RTS and ITS which ESMA is required to develop. Following this discussion paper and on the basis of the relevant input received, ESMA will prepare draft technical standards to be included in the consultation paper which will most likely be published around summer 2012. | |||
| 18/10/2013 | 2013/1292 | ESMA’s Technical Advice to the Commission on procedural rules to impose fines on Trade Repositories | Post Trading | Consultation Paper | PDF 1.52 MB |
The European Securities and Markets Authority (ESMA) is publishing this consultation paper to assist with the preparation of its Technical Advice to the European Commission on the procedural rules for imposing fines and periodic penalties on Trade Repositories. The Commission requested ESMA's advice on 29 April 2013 to assist it in formulating procedural rules by delegated act. (Annex I) The closing date for responses is 15 November 2013 and ESMA aims to provide its advice to the Commission by 31 December 2013. |
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| 14/11/2013 | 2013/1649 | ESMA’s policy orientations on possible implementing measures under the Market Abuse Regulation | Market Abuse, Market Integrity | Consultation Paper | PDF 950.26 KB |
The European Securities and Markets Authority (ESMA) has published a Discussion Paper setting out its initial views on the implementing measures it will have to develop for the new Market Abuse Regulation (MAR). MAR aims to enhance market integrity and investor protection. It will achieve this by updating and strengthening the existing market abuse framework, by extending its scope to new markets and trading strategies, and by introducing new requirements. The Discussion Paper presents positions and regulatory options on those issues where ESMA will have to develop MAR implementing measures, likely to include Regulatory Technical Standards, Delegated Acts and Guidelines. These implementing measures are of fundamental importance to the new regime, as they set out how MAR’s enlarged scope is to be implemented in practice by market participants, trading platforms, investors, issuers and persons related to financial markets. In developing these regulatory options ESMA, where similar requirements already exist under the current Market Abuse Directive (MAD), has taken into consideration the existing MAD Level 2 texts and ESMA/CESR guidelines to set out the DP positions in light of the extended scope of MAR. This Discussion Paper is based on the version of the MAR Level 1 text agreed by the European Parliament, the Council and the European Commission on 24 June 2013. Consultation Reference 2013/1649 Closing date for responses Monday, 27 January 2014 Contact market.integrity[at]esma.europa.eu | |||
| 20/02/2013 | 2013/219 | ESMA’s Technical Advice to the Commission on Fees for Trade Repositories | Post Trading | Consultation Paper | PDF 586.97 KB |