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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
27/05/2019 ESMA70-151-1985 Consultation paper on Guidelines for reporting under Articles 4 and 12 SFTR Consultation Paper PDF
1.32 MB
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.

25/09/2015 2015/1463 ESMA Consultation Paper on ESEF , , Consultation Paper PDF
2.34 MB
21/12/2010 10-1351 Feedback statement- Transaction Reporting on OTC Derivatives and Extension of the Scope of Transaction Reporting Obligations CESR Document PDF
93.89 KB
20/12/2010 10-1318 Guidelines- Selection and presentation of performance scenarios in the Key Investor Information document (KII) for structured UCITS CESR Document PDF
198.56 KB
20/12/2010 10-1319 Guidelines- Transition from the Simplified Prospectus to the Key Investor Information document CESR Document PDF
136.11 KB
20/12/2010 10-1320 CESR’s guide to clear language and layout for the Key Investor Information document CESR Document PDF
161.87 KB
20/12/2010 CESR/10-1321 CESR’s template for the Key Investor Information document CESR Document PDF
108.44 KB
20/12/2010 10-1396 Feedback statement- CESR’s level 3 guidelines on the selection and presentation of performance scenarios in the Key Investor Information document (KII) for structured UCITS CESR Document PDF
124.29 KB
20/12/2010 10-1397 Feedback statement- Guidelines for the transition from the Simplified Prospectus to the Key Investor Information document CESR Document PDF
112.83 KB
20/12/2010 10-1398 Feedback statement- A guide to clear language and layout for the Key Investor Information document (KII) CESR Document PDF
103.3 KB
20/12/2010 10-1399 Feedback statement- CESR’s template for the Key Investor Information document CESR Document PDF
123.79 KB
03/12/2010 10-1459 Call for evidence- Implementing measures on the Alternative Investment Fund Managers Directive Consultation Paper PDF
92.68 KB
18/11/2010 10-1253 Consultation Paper: CESR’s Guidelines on Risk Measurement and the Calculation of Global Exposure for certain types of structured UCITS Consultation Paper PDF
205.28 KB
22/10/2010 10-1045 Feedback Statement- CESR Technical Advice to the European Commission in the context of the MiFID Review – Client categorisation CESR Document PDF
253.56 KB
08/10/2010 10-512 Feedback statement on the consultation on guidance to report transactions on OTC derivative instruments and subsequent CESR decisions CESR Document PDF
911.6 KB
08/10/2010 10-661 Guidance to report transactions on OTC derivative instruments CESR Document PDF
703.48 KB
13/09/2010 10-1018 Feedback statement- CESR’s Consultation on Guidance on Common Standards for Assessment of Compliance of Credit Rating Methodologies with the Requirements set out in Article 8.3 CESR Document PDF
162.66 KB
13/09/2010 10-1016 Feedback statement- CESR’s Guidance on the enforcement practices and activities to be conducted under Article 21.3(a) of the Regulation CESR Document PDF
165.25 KB
06/09/2010 10-918 Feedback statement- CESR Technical Advice to the European Commission in the context of the MiFID Review –Investor Protection and Intermediaries CESR Document PDF
376.25 KB

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