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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
23/10/2020 ESMA31-62-1193 List of prospectus thresholds , , Reference PDF
220.58 KB
31/08/2020 ESMA32-380-143 National thresholds for shareholder identification under the revised SRD Reference PDF
135.18 KB
09/07/2020 ESMA74-362-608 Guidelines on calculation of positions in SFTs by Trade Repositories , Consultation Paper PDF
799.81 KB
27/03/2020 ESMA31-69-261 Call for expression of interest CFSC CWG 2020 Reference PDF
133.21 KB
27/03/2020 ESMA31-69-263 Application form CSFC CWG Reference DOCX
40.09 KB
06/01/2020 ESMA74-362-388 LEI statement SFTR Reference PDF
105.88 KB
27/05/2019 ESMA70-151-1019 Consolidated SFTR_Validation_Rules Reference XLSX
120.19 KB
27/05/2019 ESMA70-151-2371 Response form to consultation on Guidelines for reporting under Articles 4 and 12 SFTR Reference DOCX
757.3 KB
27/05/2019 ESMA70-151-1985 Consultation paper on Guidelines for reporting under Articles 4 and 12 SFTR Consultation Paper PDF
1.32 MB
13/07/2018 ESMA31-62-996 Consultation Paper on Guidelines on Risk Factors Consultation Paper PDF
833.24 KB
13/07/2018 ESMA31-62-962 Consultation Paper on minimum information content for prospectus exemption Consultation Paper PDF
1.6 MB
27/03/2018 ESMA33-128-212 reply form Reply form- Consultation Paper TA Fees Securitisation Repositories Reference DOCX
766.76 KB
27/03/2018 ESMA33-128-109 reply form Reply form- Consultation Paper Securitisation Repositories Application Reference DOCX
767.02 KB
04/12/2017 ESMA31-69-163 FORM Application form for CFSC CWG , Reference DOCX
34.73 KB
04/12/2017 ESMA31-69-163 Call for expressions of interest for the Consultative Working Group of ESMA’s Corporate Finance Standing Committee (CFSC) , Reference PDF
275.59 KB
30/09/2016 2016/1409 SFTR Tables , Reference XLSX
45.84 KB
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.

11/02/2016 2016/211 ToR CFSC Reference PDF
142.36 KB
04/12/2015 2015/1408 rev Application form for Corporate Finance Consultative Working Group , Reference DOCX
38.7 KB
04/12/2015 2015/1407 rev Call for expression of interest- Renewal of the Corporate Finance Consultative Working Group , Reference PDF
186.07 KB