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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|03/01/2022||ESMA35-43-2938||Final report- Guidelines on certain aspects of the MiFID II appropriateness and execution-only requirements||Guidelines and Technical standards, MiFID - Investor Protection||Final Report||PDF
|12/07/2021||ESMA74-362-1978||Final report Technical Advice to EC on simplification and harmonisation of fees to TRs under EMIR and SFTR||Market data, Post Trading, Securities Financing Transactions, Trade Repositories||Final Report||PDF
|26/05/2021||ESMA22-328-603||ESMA response to the targeted consultation on the functioning of the ESAs||Board of Supervisors||Letter||PDF
|06/04/2021||ESMA74-362-1853||Final report Draft Guidelines On periodic information to be submitted to ESMA by Trade Repositories||Market data, Supervisory convergence, Trade Repositories||Final Report||PDF
|03/03/2021||ESMA32-51-818||Letter to the EC on next steps following Wirecard||Corporate Disclosure, Guidelines and Technical standards, Supervisory convergence, Transparency||Letter||PDF
|17/12/2020||ESMA74-362-824||Final Report_on_the_ts_on_reporting_data_quality_data_access_and_registration_of_trs_under_emir_refit||Board of Supervisors, Post Trading||Final Report||PDF
|05/06/2020||ESMA35-36-1946||Final Report Guidelines on certain aspects of the MiFID II compliance function requirements||Guidelines and Technical standards, MiFID - Investor Protection||Final Report||PDF
|03/04/2020||ESMA34-39-968||Final report- Guidelines on performance fees in UCITS and certain types of AIFs||Fund Management, Guidelines and Technical standards||Final Report||PDF
|31/03/2020||ESMA43-370-103||Final report on TA on EMIR 2.2 CCP fines||CCP Directorate, Credit Rating Agencies, Post Trading, Trade Repositories||Final Report||PDF
|28/09/2017||ESMA70-154-266||Guidelines on the management body of market operators and data reporting service providers||Guidelines and Technical standards, MiFID - Secondary Markets||Final Report||PDF
|24/08/2017||ESMA70-151-552||Guidelines on transfer of data between Trade Repositories||Guidelines and Technical standards, Post Trading||Final Report||PDF
|10/10/2016||2016/1451||Final Report- Guidelines on transaction reporting, order record keeping and clock synchronisation under MiFID II||Guidelines and Technical standards, MiFID - Secondary Markets||Final Report||PDF
|30/09/2016||2016/1412||Final Report on MAR Guidelines on commodity derivatives||Guidelines and Technical standards, Market Abuse, Market Integrity||Final Report||PDF
Article 7(5) of MAR provides that the European Securities and Markets Authority (ESMA) shall issue guidelines to establish a non-exhaustive indicative list of information which is reasonably expected or is required to be disclosed in accordance with legal or regulatory provisions in Union or national law, market rules, contract, practice or custom, on the relevant commodity derivatives markets or spot markets as referred to in Article 7(1)(b) of MAR. This final report follows the Consultation Paper (CP) issued on March 2016.
Section 2 contains information on the background and mandate, while Section 3 sets out ESMA’s feedback to the CP responses in relation to the scope of the guidelines, the financial instruments and products covered by the examples of information relating directly and indirectly to commodity derivatives and information directly relating to a spot market contract. It also indicates whether and where ESMA has changed the guidelines following the consultation.
Annex I lists questions raised in the CP. Annex 2 provides the legislative mandate on the basis of which ESMA is issuing these guidelines. Annex 3 sets out ESMA’s view on the costs and benefits associated with these guidelines. Annex 4 contains the text of the guidelines.
The guidelines in Annex 4 will be translated into the official languages of the European Union and published on the ESMA’s website. Within 2 months of the issuance of the translations, each national competent authority will have to confirm whether it complies or intends to comply with those guidelines. In the event that a national competent authority does not comply or does not intend to comply, it will have to inform ESMA, stating its reasons. ESMA will publish the fact that a national competent authority does not comply or does not intend to comply with those guidelines.
|26/05/2016||2016/725||Draft RTS on indirect clearing arrangements under EMIR and MiFIR||Guidelines and Technical standards, Post Trading, MiFID - Secondary Markets||Final Report||PDF
|18/12/2015||2015/1887||Follow-up report on the development of the Best Practice Principles for Providers of Shareholder Voting Research and Analysis||Corporate Finance, Corporate Governance||Final Report||PDF
|23/02/2015||2015/168||Letter to EU Institutions re ESMA’s 2015 Work Programme||Corporate Information, Management Board, Board of Supervisors||Letter||PDF
|Dear Mr Gualtieri, Ms Ribkina and Commissioner Hill, On 30 September 2014 we sent you ESMA’s Work Programme for 2015, which was based on the budget request that had been approved by ESMA’s Board of Supervisors: a budget of €38,639,000 and 147 Establishment Plan posts. The EU budget had not been voted at the time. Following the adoption of the EU budget, ESMA’s 2015 expenditure budget is €33,601,402 (plus an additional €3,100,000 from assigned revenues for tasks delegated from National Competent Authorities) with an Establishment Plan of 137 posts. ESMA’s Board of Supervisors has approved a revised work programme to account for the difference of €5m and 10 Establishment Plan posts; representing a 15% reduction compared to the planned ESMA budget and 7% of its Establishment Plan. ESMA will therefore lack sufficient resources to execute all the tasks that were initially planned for 2015. The Work Programme explains the areas where reprioritisation had to take place, including the risk that ESMA will not fully meet its legal obligations, for instance due to the delay of delivery compared to legally set timetables. A summary of the deprioritised tasks is annexed to the Work Programme and reproduced in the table below. 2014/1200rev ESMA Work Programme|
|06/07/2012||2012/387||Final report Guidelines on certain aspects of the MiFID suitability requirements||Guidelines and Technical standards, MiFID - Investor Protection||Final Report||PDF
|22/11/2011||2011/219||ESMA comment letter on the EU Commission Green Paper- The EU Corporate Governance Framework||Corporate Disclosure, Corporate Governance||Letter||PDF