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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|24/11/2021||ESMA50-164-5210||Compliance table on Guidelines on outsourcing to cloud service providers||Guidelines and Technical standards, Innovation and Products||Compliance table||PDF
|23/11/2021||ESMA70-156-4754||Compliance table on Guidelines on MiFID II/MiFIR obligations on market data||Guidelines and Technical standards, MiFID - Secondary Markets||Compliance table||PDF
|23/11/2021||ESMA35-43-2517||Compliance table on Guidelines on certain aspects of the MiFID II compliance function (ESMA35-36-1952)||Guidelines and Technical standards, MiFID - Investor Protection||Compliance table||PDF
|22/11/2021||ESMA41-140-79||Technical standards||Corporate Information, Guidelines and Technical standards||Reference||XLSX
|11/11/2021||ESMA34-32-898||Compliance table on Guidelines on Article 25 of the AIFMD||Fund Management, Guidelines and Technical standards||Compliance table||PDF
|08/11/2021||Net short thresholds||Net short position notification thresholds for sovereign issuers||Short Selling||Reference||XLSX
According to Article 7(2) of the Short Selling Regulation, ESMA has to publish a list of the thresholds applicable to the sovereign issuers for the purpose of the notification to competent authorities of significant net short position in sovereign debt.
The way these notification thresholds are defined is further specified in the Commission Delegated Regulation No 918/2012 (the “DR”). The DR specifies that initial threshold categories shall be:
The additional incremental levels shall be set at 50% of the initial thresholds. The reporting thresholds shall be monetary amounts fixed by applying the percentage thresholds to the outstanding sovereign debt of the sovereign issuer. They will be revised and updated quarterly to reflect changes in the total amount of outstanding sovereign debt of each sovereign issuer.
In addition, the DR states that the amount of outstanding debt should be calculated using a duration adjusted approach. ESMA has published a Q&A document on how to proceed for the duration adjustment.
The table of thresholds contains the name of the sovereign issuer, the amount of outstanding debt duration adjusted, the initial threshold amount and the relevant percentage, the incremental threshold amount and the relevant percentage.
Please note that the figures of the amount of outstanding debt are duration adjusted (not nominal amounts) and are approximations provided by competent authorities.
|29/10/2021||ESMA35-43-1430||Compliance table on Guidelines on MiFID II suitability requirements||Guidelines and Technical standards, MiFID - Investor Protection||Compliance table||PDF
|27/10/2021||ESMA42-110-812||Notifications of Compliance with Guidelines – Overview Table||Guidelines and Technical standards||Reference||XLSX
|26/10/2021||ESMA34-49-373||Compliance table on Revised Guidelines on stress tests scenarios under Article 28 of the MMF Regulation ESMA 34-49-291||Fund Management, Guidelines and Technical standards||Compliance table||PDF
|20/10/2021||ESMA34-45-1128||Compliance table- Guidelines on performance fees in UCITS and certain types of AIFs||Fund Management, Guidelines and Technical standards, Supervisory convergence||Compliance table||PDF
|08/10/2021||ESMA74-362-2159||ESMA as a data driven regulator and supervisor- AFME 5th Annual European Compliance and Legal Virtual Conference||Market data, MiFID - Secondary Markets, MiFID II: Transparency Calculations and DVC, Post Trading, Risk Analysis & Economics - Markets Infrastructure Investors, Securitisation, Speeches, Supervisory convergence, Trade Repositories, Transparency||Speech||PDF
|01/10/2021||ESMA35-43-1215||Compliance table for Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body||Guidelines and Technical standards, Joint Committee, MiFID - Investor Protection||Compliance table||PDF
|01/10/2021||ESMA35-43-1957||Compliance table- Guidelines on complex debt instruments and structured deposits (ESMA/2015/1787)||Guidelines and Technical standards, MiFID - Investor Protection||Compliance table||PDF
|24/09/2021||ESMA50-164-772||Links to the national websites explaining the procedures for notifications of net short positions||Short Selling||Reference||PDF
|24/09/2021||Market makers - XLS||Market makers and authorised primary dealers who are using the exemption under the SSR- XLS||Short Selling||Reference||XLSX
|24/09/2021||ESMA70-156-3914||Response form- Consultation Paper on the review of certain aspects of the SSR||Short Selling||Reference||DOCX
|23/09/2021||ESMA41-356-234||Public Notice- UnaVista Limited||Trade Repositories||Reference||PDF
|13/09/2021||ESMA35-43-2183||Compliance table- Guidelines for the assessment of knowledge and competence (ESMA/2015/1886)||Guidelines and Technical standards, MiFID - Investor Protection||Compliance table||PDF
|11/08/2021||Market makers - pdf||Market makers and authorised primary dealers who are using the exemption under the SSR- PDF||Short Selling||Reference||PDF
|15/07/2021||ESMA70-156-4731||Response form for the Consultation Paper on MAR Guidelines||Market Abuse||Reference||DOCX