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15/07/2020 ESMA71-99-1364 ESMA Statement on Assessment of German Financial Reporting Regime Corporate Disclosure, Guidelines and Technical standards, Press Releases, Supervisory convergence Statement PDF
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17/01/2020 ESMA 33-128-827 Guidelines on securitisation repository data completeness and consistency thresholds Securitisation Consultation Paper PDF
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11/01/2019 ESMA33-128-577 Statement on Securitisation implementation Securitisation Statement PDF
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23/03/2018 ESMA33-128-212 ESMA33-128-212 Consultation Paper TA Fees Securitisation Repositories Securitisation Consultation Paper PDF
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23/03/2018 ESMA33-128-109 Consultation Paper Securitisation Repositories Application Securitisation Consultation Paper PDF
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19/12/2017 ESMA33-128-108 Consultation_Paper_Third-Party_Firm_STS_Verification_Application Securitisation Consultation Paper PDF
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19/12/2017 ESMA33-128-107 Consultation_Paper_Disclosure_and_Operational_Standards Securitisation Consultation Paper PDF
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19/12/2017 ESMA33-128-33 Consultation_Paper_STS notification Securitisation Consultation Paper PDF
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15/12/2017 ESMA71-99-910 Statement on preparatory work of the European Securities and Markets Authority in relation to CFDs and binary options offered to retail clients MiFID - Investor Protection, Warnings and publications for investors Statement PDF
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13/11/2017 ESMA50-157-828 ESMA alerts firms involved in Initial Coin Offerings (ICOs) to the need to meet relevant regulatory requirements Innovation and Products, Warnings and publications for investors Statement PDF
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13/11/2017 ESMA50-157-829 ESMA alerts investors to the high risks of Initial Coin Offerings (ICOs) Innovation and Products, Warnings and publications for investors Statement PDF
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29/09/2017 70-145-105 Draft Guidelines on non-significant benchmarks Benchmarks, Guidelines and Technical standards Consultation Paper PDF
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10/11/2016 2016-1563 Issues for consideration in implementing IFRS 9: Financial Instruments Audit, Corporate Disclosure, IFRS Supervisory Convergence Statement PDF
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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
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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.
31/07/2014 2014/944 Potential Risks Associated with Investing in Contingent Convertible Instruments Warnings and publications for investors, Innovation and Products Statement PDF
106.1 KB		 The European Securities and Markets Authority (ESMA) is issuing this statement to clarify to institutional investors risks from a newly emerging asset class referred to by most market participants as contingent convertibles instruments (CoCos). If they work as intended in a crisis CoCos will play an important role to inhibit risk transfer from debt holders to taxpayers. They along with standards to improve the quality and quantity of bank capital reflect a considerate response to the former regulatory capital framework. However, it is unclear as to whether investors fully consider the risks of CoCos and correctly factor those risks into their valuation. ESMA believes there are specific risks to CoCos and that investors should take those risks into consideration prior to investing in these instruments.