ESMA LIBRARY
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Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 25/04/2017 | ESMA22-106-196 | Advice in response to JC Discussion Paper on the Use of Big Data by Financial Institutions | Securities and Markets Stakeholder Group | SMSG Advice | PDF 144.22 KB |
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| 20/12/2013 | 2013/SMSG/017 | Advice on Consultation Paper – Draft Regulatory Technical Standards on contracts having a direct, substantial and foreseeable effect within the Un-ion and non-evasion of provisions of EMIR | Securities and Markets Stakeholder Group | SMSG Advice | PDF 27.43 KB |
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| 20/12/2013 | 2013/SMSG/018 | Advice on Discussion Paper – The Clearing Obligation under EMIR | Securities and Markets Stakeholder Group | SMSG Advice | PDF 46.94 KB |
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| 28/10/2011 | 2011/SMSG/13 | Advice on ESMA's draft technical advice to the European Commission on possible implementing measures of the Alternative Investment Fund Man-agers Directive in relation to supervision and third countries | Securities and Markets Stakeholder Group | SMSG Advice | PDF 88.23 KB |
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| 01/12/2011 | 2011/SMSG/18 | Advice on ESMA's public consultation on UCITS Exchange traded funds in the European Union | Securities and Markets Stakeholder Group | SMSG Advice | PDF 149.17 KB |
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| 28/02/2012 | 2012/SMSG/12 | Advice on Guidelines on certain aspects of the MiFID compliance function requirements | Securities and Markets Stakeholder Group | SMSG Advice | PDF 83.35 KB |
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| 28/02/2012 | 2012/SMSG/11 | Advice on Guidelines on certain aspects of the MiFID suitability requirements | Securities and Markets Stakeholder Group | SMSG Advice | PDF 138.1 KB |
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| 18/09/2015 | 2015/SMSG/026 | Advice on Proxy advisors | Securities and Markets Stakeholder Group | SMSG Advice | PDF 206.54 KB |
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| 11/11/2015 | ESMA/2015/SMSG/031 | Advice on sound remuneration under UCITS and AIFMD | Securities and Markets Stakeholder Group | SMSG Advice | PDF 123.3 KB |
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| 20/12/2013 | 2013/1970 | Draft Regulatory Technical Standards on specific situations that require the publication of a supplement to the prospectus | Prospectus, Corporate Disclosure | Technical Standards | PDF 713.74 KB |
The Final Report contains the draft Regulatory Technical Standard (RTS) on situations which require the publication of a supplement to the prospectus which ESMA is required to submit to the European Commission by 1 January 2014 in accordance with Article 16(3) of the Prospectus Directive. The Report furthermore includes a summary of the main responses received to ESMA’s Consultation Paper which was published in March 2013. The draft RTS sets out nine situations which are always considered to be significant in the context of securities issuance and where a supplement to the prospectus will always be required. Other situations would require a case-by-case assessment. | |||
| 09/03/2020 | ESMA80-199-332 | ESMA Supervision- Annual Report 2019 and Work Programme 2020 | Benchmarks, Credit Rating Agencies, Securities Financing Transactions, Securitisation, Trade Repositories | Annual Report | PDF 825.72 KB |
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| 20/12/2019 | SMSG ESMA20-06-2053 | Joint position paper from the ESA stakeholder groups on the ESA review | Securities and Markets Stakeholder Group | SMSG Advice | PDF 283.55 KB |
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| 02/02/2012 | 2012/SMSG/6 | Letter regarding deadlines for the submission of ESMA’s technical standards | Securities and Markets Stakeholder Group | SMSG Advice | PDF 82.35 KB |
A letter from the ESMA Securities and Markets Stakeholder Group to Michel Barnier, Commissioner for Internal Market and Services, Sharon Bowles, Chair of ECON, and Klaus-Heiner Lehne, Chair of JURI, regarding deadlines for the submission of ESMA's technical standards. | |||
| 28/10/2011 | 2011/SMSG/12 | Position paper- ESMA's Consultation on systems and controls in a highly automated trading environment for trading platforms, investment firms and competent authorities | Securities and Markets Stakeholder Group | SMSG Advice | PDF 59.19 KB |
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| 28/10/2011 | 2011/SMSG/11 | Response to ESMA's Consultation paper on guidelines on systems and controlsin a highly automated trading environment for trading platforms, investmentfirms and competent authorities | Securities and Markets Stakeholder Group | SMSG Advice | PDF 48.99 KB |
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| 20/12/2013 | 2013/SMSG/020 | Response to the Consultation Paper ESMA Guidelines on enforcement of financial information | Securities and Markets Stakeholder Group | SMSG Advice | PDF 67.09 KB |
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| 12/10/2012 | 2012/SMSG/59 | Securities and Markets Stakeholder Group – Report on Helping Small and Medium Sized Companies Access Funding | Securities and Markets Stakeholder Group | SMSG Advice | PDF 497.32 KB |
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| 12/01/2021 | ESMA22-106-3087 | SMSG advice ESMA on its Consultation Paper on Guidelines on the MiFID II/ MiFIR Obligations on Market Data | Securities and Markets Stakeholder Group | SMSG Advice | PDF 129.81 KB |
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| 29/04/2020 | ESMA22-106-2365 | SMSG advice Inv services third country | Securities and Markets Stakeholder Group | SMSG Advice | PDF 163.99 KB |
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| 13/04/2016 | 2016/SMSG/010 | SMSG Advice MAR Guidelines | Securities and Markets Stakeholder Group | SMSG Advice | PDF 152.68 KB |