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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
04/10/2011 2011/323 Final report- ESMA's technical advice on possible delegated acts concerning the Prospectus Directive as amended by the Directive 2010/73/EU Prospectus, Corporate Disclosure Technical Advice PDF
797.56 KB
06/01/2012 2012/10 Interpretation of the Mineral Companies Recommendations for cement companies Prospectus, Corporate Disclosure Letter PDF
41.27 KB		 Open letter regarding Interpretation of the Mineral Companies Recommendations for cement companies
01/03/2012 2012/137 ESMA’s technical advice on possible delegated acts concerning the Prospectus Directive as amended by the Directive 2010/73/EU Prospectus, Corporate Disclosure Technical Advice PDF
1.32 MB		 ESMA publishes today the second part of its final advice (ESMA/2012/137) on possible delegated acts for the Prospectus Directive (PD).  The advice was submitted to the Commission on 29 February 2012.  In its advice, ESMA proposes how to use a prospectus in a retail cascade and provides input on how to review the provisions of the Prospectus Regulation concerning tax information, indices, auditor’s report on profit forecasts and estimates and audited historical financial information. Today’s advice follows a public consultation started on 13 December 2011. Overall, the technical advice aims to achieve a high level of investor protection and to increase across Europe the legal clarity and efficiency of the prospectus regime. Investment prospectuses as such are aimed to provide investors with easily accessible information on financial products so as to foster in-formed decision-making.
01/03/2012 2012/138 ESMA’s technical advice on possible delegated acts concerning the Prospectus Directive as amended by the Directive 2010/73/EU Prospectus, Corporate Disclosure Letter PDF
94.68 KB
22/06/2012 2012/382 MiFID Q&A in the area of investor protection and intermediaries MiFID - Investor Protection Q&A PDF
319.78 KB
27/07/2012 2012/476 Reply of ESMA to the European Commission’s Green Paper on Shadow Banking MiFID - Investor Protection Letter PDF
175.94 KB
09/01/2013 2012/864 ESMA’s technical advice on possible delegated acts concerning the Prospectus Directive as amended by the Directive 2010/73/EU Prospectus, Corporate Disclosure Technical Advice PDF
1.23 MB
09/01/2013 2012/878 ESMA’s technical advice on possible delegated acts concerning the Prospectus Directive as amended by the Directive 2010/73/EU Prospectus, Corporate Disclosure Letter PDF
36.15 KB
10/01/2014 2013/1932 Deadlines for the submission of draft technical standards Prospectus, Corporate Disclosure Letter PDF
51.91 KB
28/01/2014 2013/1941 Letter to Jonathan Faull (EC) regarding draft technical standards MiFID - Investor Protection, MiFID - Secondary Markets Letter PDF
44.25 KB
19/12/2014 2014/1569 Technical Advice to the Commission on MiFID II and MiFIR MiFID - Investor Protection, MiFID - Secondary Markets Technical Advice PDF
2.8 MB		 Reasons for publication The European Securities and Markets Authority (ESMA) received a formal request (mandate) from the European Commission (Commission) on 23 April 2014 to provide technical advice to assist the Commission on the possible content of the delegated acts required by several provisions of Markets in Financial Instruments Directive (MiFID II) and the Markets in Financial Instruments Regulation (MiFIR). The mandate focuses on technical issues which follow from MiFID II and MiFIR and is available on the European Commission website (here). ESMA was required to provide technical advice by no later than six months after the entry into force of MiFID II and MiFIR (2 July 2014). Contents This final report follows the same structure as the Consultation Paper  (CP) published by ESMA on 22 May 2014 which is: (1) Introduction, (2) Investor protection, (3) Transparency, (4) Data publication, (5) Micro-structural issues, (6) Requirements applying on and to trading venues, (7) Commodity derivatives and (8) Portfolio compression. This paper also contains summaries of responses to the CP received by ESMA. The rationale of those items covered already in the CP for which no relevant changes have been introduced, is not developed again in this Final Report. ESMA recommends, therefore, to read this report together with the CP published on 22 May 2014 to have a complete vision of the rationale for ESMA’s technical advice. Next steps Delegated acts should be adopted by the Commission so that they enter into application by 30 months following the entry into force of the Directive and Regulation, taking into account the right of the European Parliament and Council to object to a delegated act within 3 months (which can be extended by a further 3 months).
01/07/2015 2015/1005 Questions and Answers: Investment-based crowdfunding: money laundering/terrorist financing Innovation and Products Q&A PDF
157.73 KB
17/11/2015 2015/1513 Letter SM to EC- implementation timeline MiFID MiFIR MiFID - Investor Protection Letter PDF
85.8 KB
23/02/2015 2015/168 Letter to EU Institutions re ESMA’s 2015 Work Programme Corporate Information, Management Board, Board of Supervisors Letter PDF
37.31 KB		 Dear Mr Gualtieri, Ms Ribkina and Commissioner Hill, On 30 September 2014 we sent you ESMA’s Work Programme for 2015, which was based on the budget request that had been approved by ESMA’s Board of Supervisors: a budget of €38,639,000 and 147 Establishment Plan posts. The EU budget had not been voted at the time. Following the adoption of the EU budget, ESMA’s 2015 expenditure budget is €33,601,402 (plus an additional €3,100,000 from assigned revenues for tasks delegated from National Competent Authorities) with an Establishment Plan of 137 posts. ESMA’s Board of Supervisors has approved a revised work programme to account for the difference of €5m and 10 Establishment Plan posts; representing a 15% reduction compared to the planned ESMA budget and 7% of its Establishment Plan. ESMA will therefore lack sufficient resources to execute all the tasks that were initially planned for 2015. The Work Programme explains the areas where reprioritisation had to take place, including the risk that ESMA will not fully meet its legal obligations, for instance due to the delay of delivery compared to legally set timetables. A summary of the deprioritised tasks is annexed to the Work Programme and reproduced in the table below. 2014/1200rev ESMA Work Programme
21/05/2015 2015/857 ESMA response to the European Commission consultation on the review of the Prospectus Directive Prospectus, Corporate Disclosure Letter PDF
241.24 KB
05/01/2017 2016/1621 2016-1621 ESMA letter to EC on postponement of ESEF RTS Corporate Disclosure, European Single Electronic Format, Transparency Letter PDF
87.44 KB
09/02/2016 2016/235 Comment letter on Taxonomy due process Corporate Disclosure, European Single Electronic Format, Transparency Letter PDF
84.24 KB
26/04/2016 2016/648 ESMA response to the Commission Green Paper on retail financial services MiFID - Investor Protection Letter PDF
197.44 KB
27/01/2016 ESA/2016/07 The cross-selling of financial products – ESA request to the European Commission Joint Committee, MiFID - Investor Protection Letter PDF
90.04 KB
09/02/2021 ESAs 2021 07 ESAs letter on DORA Innovation and Products, Joint Committee Letter PDF
142.91 KB

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