ESMA LIBRARY
The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
11
REFINE YOUR SEARCH
Sections
- (-) Remove Corporate Governance filter Corporate Governance
- (-) Remove Guidelines and Technical standards filter Guidelines and Technical standards
- (-) Remove Brexit filter Brexit
- (-) Remove Crowdfunding filter Crowdfunding
- CESR Archive (190) Apply CESR Archive filter
- Post Trading (60) Apply Post Trading filter
- Fund Management (46) Apply Fund Management filter
- MiFID - Secondary Markets (36) Apply MiFID - Secondary Markets filter
- MiFID - Investor Protection (33) Apply MiFID - Investor Protection filter
- Credit Rating Agencies (30) Apply Credit Rating Agencies filter
- Joint Committee (30) Apply Joint Committee filter
- CCP Directorate (22) Apply CCP Directorate filter
- Corporate Disclosure (19) Apply Corporate Disclosure filter
- Market Abuse (14) Apply Market Abuse filter
- Prospectus (14) Apply Prospectus filter
- Supervisory convergence (13) Apply Supervisory convergence filter
- Benchmarks (10) Apply Benchmarks filter
- Securitisation (10) Apply Securitisation filter
- Market Integrity (9) Apply Market Integrity filter
- Trading (9) Apply Trading filter
- Short Selling (8) Apply Short Selling filter
- Sustainable finance (6) Apply Sustainable finance filter
- Trade Repositories (6) Apply Trade Repositories filter
- Innovation and Products (5) Apply Innovation and Products filter
- Securities Financing Transactions (5) Apply Securities Financing Transactions filter
- Transparency (5) Apply Transparency filter
- Corporate Finance (4) Apply Corporate Finance filter
- Market data (4) Apply Market data filter
- IFRS Supervisory Convergence (3) Apply IFRS Supervisory Convergence filter
- Corporate Information (2) Apply Corporate Information filter
- Risk Analysis & Economics - Markets Infrastructure Investors (2) Apply Risk Analysis & Economics - Markets Infrastructure Investors filter
- COVID-19 (1) Apply COVID-19 filter
- European Single Electronic Format (1) Apply European Single Electronic Format filter
- MiFID II: Transparency Calculations and DVC (1) Apply MiFID II: Transparency Calculations and DVC filter
Type of document
- (-) Remove Consultation Paper filter Consultation Paper
- (-) Remove Q&A filter Q&A
- Guidelines & Recommendations (560) Apply Guidelines & Recommendations filter
- Compliance table (41) Apply Compliance table filter
- Statement (36) Apply Statement filter
- Press Release (25) Apply Press Release filter
- Reference (24) Apply Reference filter
- Decision (18) Apply Decision filter
- Final Report (13) Apply Final Report filter
- Speech (8) Apply Speech filter
- Opinion (4) Apply Opinion filter
- Report (3) Apply Report filter
- Letter (2) Apply Letter filter
- Vacancy (2) Apply Vacancy filter
Your filters
Vacancies X Board of Appeal X Brexit X Guidelines and Technical standards X Crowdfunding X Corporate Governance X Q&A X Consultation Paper X
Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 14/09/2011 | 2011/288 | Call for evidence- Empty voting | Corporate Disclosure, Corporate Governance, Transparency | Consultation Paper | PDF 81.13 KB |
||||
| 22/03/2012 | 2012/212 | Discussion Paper- An Overview of the Proxy Advisory Industry. Considerations on Possible Policy Options | Corporate Disclosure, Corporate Governance | Consultation Paper | PDF 524.85 KB |
This Discussion Paper focuses on the development of the proxy advisory industry in Europe, which mainly serves institutional investors such as asset managers, mutual funds and pension funds. Following its fact-finding work in 2011, ESMA recognises the proxy advisory industry within Europe is, or is expected to be, growing in prominence and investors are, or are expected to be, increasingly using proxy advisor services. In this paper ESMA identifies several key issues related to the proxy advisory market which may have an impact on the proper functioning of the voting process. The range of policy options that ESMA will consider, and on which it seeks further input from market participants, consists of four broad areas, including: 1. No EU-level action at this stage 2. Encouraging Member States and/or industry to develop standards 3. Quasi-binding EU-level regulatory instruments 4. Binding EU-level legislative instruments ESMA will consider these options based on the feedback it receives from market participants, and, if appropriate, will undertake further policy action, either directly or by providing an opinion to the European Commission. The reason to bring up some policy options is due to the fact that proxy advisors are currently not regulated at a pan-European level. Nevertheless, there are relevant European rules that apply to investors (e.g. for UCITS management companies when exercising voting rights). In addition, there are also well-recognised corporate governance standards that apply to issuers at a national level (based on the “comply or explain approach”) and some complements to improve standards of stewardship among investors. All feedback received from this Discussion Paper will be duly considered. ESMA expects to publish a feedback statement in Q4 of 2012 which will summarise the responses received and will state ESMA’s view on whether there is a need for policy action in this area. | |||
| 08/06/2015 | 2015/920 | Impact of the Best Practice Principles for Providers of Shareholder Voting Research and Analysis | Corporate Disclosure, Corporate Governance | Consultation Paper | PDF 337.08 KB |
Responding to this Call for Evidence ESMA invites comments on all matters in this paper and in particular on the specific questions presented throughout the paper. Comments are most helpful, if they:a. respond to the question stated;b. indicate the specific question to which they relate; andc. contain a clear rationale. ESMA will consider all comments received by 27 July 2015. All contributions should be submitted online at www.esma.europa.eu under the heading ‘Your input - Consultations’. Publication of responses All contributions received will be published following the close of the Call for Evidence, unless you request otherwise. Please clearly and prominently indicate in your submission any part you do not wish to be publically disclosed. 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 ESMA’s rules on 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 ESMA’s Board of Appeal and the European Ombudsman.Data protection Information on data protection can be found at www.esma.europa.eu under the heading Legal Notice.Who should read this Call for Evidence This Call for Evidence will be of relevance to persons and entities participating in the voting chain, particularly proxy advisors, investors, companies listed in Europe, proxy solicitors and consultants. | |||
| 31/05/2016 | 2016/732 | Guidelines on participant default rules and procedures under CSDR | Guidelines and Technical standards, Post Trading | Consultation Paper | PDF 450.56 KB |
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. Contents 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. Next Steps ESMA will consider the feedback it will receive to this consultation with a view to finalising the guidelines by Q4 2016. |
|||
| 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 1.13 MB |
||||
| 29/09/2017 | 70-145-105 | Draft Guidelines on non-significant benchmarks | Benchmarks, Guidelines and Technical standards | Consultation Paper | PDF 557.29 KB |
||||
| 11/04/2019 | ESMA31-62-780 | Q&A on Prospectus Related Topics | Brexit, Corporate Disclosure, Corporate Finance, Corporate Governance, Corporate Information, Prospectus, Supervisory convergence | Q&A | PDF 957.9 KB |
||||
| 03/11/2020 | ESMA71-99-1423 | QA Fast Track Peer Review- Wirecard | Corporate Disclosure, Guidelines and Technical standards, Supervisory convergence | Q&A | PDF 248.14 KB |
||||
| 09/11/2020 | ESMA31-67-127 | Question and answers on Transparency Directive (TD) | Brexit, Corporate Disclosure, Corporate Finance, Supervisory convergence, Transparency | Q&A | PDF 352.79 KB |
||||
| 26/03/2021 | ESMA35-36-2201 | Consultation Paper on draft technical standards under the ECSP Regulation | Crowdfunding | Consultation Paper | PDF 1.24 MB |
||||
| 20/05/2022 | ESMA35-42-1088 | Q&A on the European crowdfunding service providers for business Regulation | Crowdfunding | Q&A | PDF 279.38 KB |