ESMA LIBRARY
The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
9
REFINE YOUR SEARCH
Sections
- (-) Remove Corporate Finance filter Corporate Finance
- (-) Remove Corporate Governance filter Corporate Governance
- (-) Remove Press Releases filter Press Releases
- CESR Archive (462) Apply CESR Archive filter
- Post Trading (105) Apply Post Trading filter
- Fund Management (61) Apply Fund Management filter
- Joint Committee (56) Apply Joint Committee filter
- MiFID - Investor Protection (50) Apply MiFID - Investor Protection filter
- Credit Rating Agencies (49) Apply Credit Rating Agencies filter
- MiFID - Secondary Markets (49) Apply MiFID - Secondary Markets filter
- CCP Directorate (40) Apply CCP Directorate filter
- Corporate Disclosure (38) Apply Corporate Disclosure filter
- Risk Analysis & Economics - Markets Infrastructure Investors (34) Apply Risk Analysis & Economics - Markets Infrastructure Investors filter
- Market Abuse (28) Apply Market Abuse filter
- Prospectus (27) Apply Prospectus filter
- Supervisory convergence (27) Apply Supervisory convergence filter
- IFRS Supervisory Convergence (17) Apply IFRS Supervisory Convergence filter
- Benchmarks (16) Apply Benchmarks filter
- Market Integrity (15) Apply Market Integrity filter
- Trading (15) Apply Trading filter
- Guidelines and Technical standards (14) Apply Guidelines and Technical standards filter
- Market data (14) Apply Market data filter
- Securitisation (12) Apply Securitisation filter
- Securities Financing Transactions (10) Apply Securities Financing Transactions filter
- Short Selling (10) Apply Short Selling filter
- Innovation and Products (8) Apply Innovation and Products filter
- Trade Repositories (8) Apply Trade Repositories filter
- Sustainable finance (7) Apply Sustainable finance filter
- European Single Electronic Format (5) Apply European Single Electronic Format filter
- Transparency (5) Apply Transparency filter
- COVID-19 (3) Apply COVID-19 filter
- Crowdfunding (2) Apply Crowdfunding filter
- Audit (1) Apply Audit filter
- Board of Supervisors (1) Apply Board of Supervisors filter
- Corporate Information (1) Apply Corporate Information filter
- IAS Regulation (1) Apply IAS Regulation filter
- MiFID II: Transparency Calculations and DVC (1) Apply MiFID II: Transparency Calculations and DVC filter
Type of document
- (-) Remove Consultation Paper filter Consultation Paper
- (-) Remove Final Report filter Final Report
- Press Release (325) Apply Press Release filter
- Statement (27) Apply Statement filter
- Reference (21) Apply Reference filter
- Letter (6) Apply Letter filter
- Report (5) Apply Report filter
- Q&A (2) Apply Q&A filter
- Speech (2) Apply Speech filter
- Annual Report (1) Apply Annual Report filter
- Decision (1) Apply Decision filter
Your filters Reset all filters
Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
---|---|---|---|---|---|---|---|---|---|
14/09/2011 | 2011/288 | Call for evidence- Empty voting | Corporate Disclosure, Corporate Governance, Transparency | Consultation Paper | PDF 81.13 KB |
||||
22/03/2012 | 2012/212 | Discussion Paper- An Overview of the Proxy Advisory Industry. Considerations on Possible Policy Options | Corporate Disclosure, Corporate Governance | Consultation Paper | PDF 524.85 KB |
This Discussion Paper focuses on the development of the proxy advisory industry in Europe, which mainly serves institutional investors such as asset managers, mutual funds and pension funds. Following its fact-finding work in 2011, ESMA recognises the proxy advisory industry within Europe is, or is expected to be, growing in prominence and investors are, or are expected to be, increasingly using proxy advisor services. In this paper ESMA identifies several key issues related to the proxy advisory market which may have an impact on the proper functioning of the voting process. The range of policy options that ESMA will consider, and on which it seeks further input from market participants, consists of four broad areas, including: 1. No EU-level action at this stage 2. Encouraging Member States and/or industry to develop standards 3. Quasi-binding EU-level regulatory instruments 4. Binding EU-level legislative instruments ESMA will consider these options based on the feedback it receives from market participants, and, if appropriate, will undertake further policy action, either directly or by providing an opinion to the European Commission. The reason to bring up some policy options is due to the fact that proxy advisors are currently not regulated at a pan-European level. Nevertheless, there are relevant European rules that apply to investors (e.g. for UCITS management companies when exercising voting rights). In addition, there are also well-recognised corporate governance standards that apply to issuers at a national level (based on the “comply or explain approach”) and some complements to improve standards of stewardship among investors. All feedback received from this Discussion Paper will be duly considered. ESMA expects to publish a feedback statement in Q4 of 2012 which will summarise the responses received and will state ESMA’s view on whether there is a need for policy action in this area. | |||
08/06/2015 | 2015/920 | Impact of the Best Practice Principles for Providers of Shareholder Voting Research and Analysis | Corporate Disclosure, Corporate Governance | Consultation Paper | PDF 337.08 KB |
Responding to this Call for Evidence ESMA invites comments on all matters in this paper and in particular on the specific questions presented throughout the paper. Comments are most helpful, if they:a. respond to the question stated;b. indicate the specific question to which they relate; andc. contain a clear rationale. ESMA will consider all comments received by 27 July 2015. All contributions should be submitted online at www.esma.europa.eu under the heading ‘Your input - Consultations’. Publication of responses All contributions received will be published following the close of the Call for Evidence, unless you request otherwise. Please clearly and prominently indicate in your submission any part you do not wish to be publically disclosed. A standard confidentiality statement in an email message will not be treated as a request for non-disclosure. A confidential response may be requested from us in accordance with ESMA’s rules on access to documents. We may consult you, if we receive such a request. Any decision we make not to disclose the response is reviewable by ESMA’s Board of Appeal and the European Ombudsman.Data protection Information on data protection can be found at www.esma.europa.eu under the heading Legal Notice.Who should read this Call for Evidence This Call for Evidence will be of relevance to persons and entities participating in the voting chain, particularly proxy advisors, investors, companies listed in Europe, proxy solicitors and consultants. | |||
18/12/2015 | 2015/1887 | Follow-up report on the development of the Best Practice Principles for Providers of Shareholder Voting Research and Analysis | Corporate Finance, Corporate Governance | Final Report | PDF 645.64 KB |
||||
14/11/2016 | 2016/1565 | Final Report on the clearing obligation for financial counterparties with a limited volume of activity | Post Trading, Press Releases | Final Report | PDF 478.72 KB |
||||
13/07/2018 | ESMA31-62-962 | Consultation Paper on minimum information content for prospectus exemption | Corporate Finance | Consultation Paper | PDF 1.6 MB |
||||
13/07/2018 | ESMA31-62-996 | Consultation Paper on Guidelines on Risk Factors | Corporate Finance | Consultation Paper | PDF 833.24 KB |
||||
15/10/2018 | ESMA31-62-1114 | 2017 Report on EEA prospectus activity | Corporate Finance | Final Report | PDF 385.45 KB |
||||
15/04/2021 | ESMA80-193-1713 | EMIR and SFTR data quality report 2020 | Market data, Press Releases, Securities Financing Transactions, Supervisory convergence | Final Report | PDF 791.94 KB |