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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
01/07/2015 2015/1005 Questions and Answers: Investment-based crowdfunding: money laundering/terrorist financing Q&A PDF
157.73 KB
22/04/2015 2015/532 Investment using virtual currency or distributed ledger technology Consultation Paper PDF
526.19 KB
ESMA has been monitoring and analysing virtual currency investment over the last 6 months, to understand developments in the market, potential benefits or risks for investors, market integrity or financial stability, and to support the functioning of the EU single market. ESMA’s analysis is set out in this paper. ESMA is seeking to share its analysis in order to promote wider understanding of innovative market developments, and invites market participants and other stakeholders to submit feedback and any additional information on the following topics: Virtual currency investment products, i.e. collective investment schemes or derivatives such as options and CFDs that have virtual currencies (VCs) as an underlying or invest in VC related businesses and infrastructure; Virtual currency based assets/securities and asset transfers, i.e. financial assets such as shares, funds, etc. that are exclusively traded using virtual currency distributed ledgers (also known as block chains);and The application of the distributed ledger technology to securities/investments, whether inside or outside a virtual currency environment.
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 , Consultation Paper PDF
1.13 MB
31/05/2016 2016/732 Guidelines on participant default rules and procedures under CSDR , 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.

02/06/2016 2016/773 Discussion Paper on the Distributed Ledger Technology Applied to Securities Markets , Consultation Paper PDF
573.86 KB
29/09/2017 70-145-105 Draft Guidelines on non-significant benchmarks , Consultation Paper PDF
557.29 KB
25/05/2021 ESMA-50-164-4518 Call for evidence- Digital Finance Consultation Paper PDF
300.37 KB
05/11/2020 ESMA30-379-325 Consultation Paper- Draft advice to EC under Article 8 of the Taxonomy Regulation Consultation Paper PDF
1.79 MB
11/04/2019 ESMA31-62-780 Q&A on Prospectus Related Topics , , , , , , Q&A PDF
957.9 KB
09/11/2020 ESMA31-67-127 Question and answers on Transparency Directive (TD) , , , , Q&A PDF
352.79 KB
01/04/2022 ESMA32-51-370 Q&A on ESMA Guidelines on Alternative Performance Measures , Q&A PDF
987.02 KB
17/12/2021 ESMA34-32-352 Q&A on the Application of the AIFMD , Q&A PDF
691.07 KB
19/11/2021 ESMA35-43-349 Q&As on MiFID II and MiFIR investor protection topics , Q&A PDF
1023.15 KB
03/06/2020 ESMA50-164-3342 Draft Guidelines on Outsourcing to Cloud Service Providers Consultation Paper PDF
390.7 KB
28/01/2022 ESMA70-145-114 Q&A on the Benchmarks Regulation (BMR) , Q&A PDF
553.88 KB
02/04/2020 ESMA70-151-2823 ESMA Report to the European Commission on Central Clearing Obligations for PSA- No 1 , , Consultation Paper PDF
309.21 KB
26/03/2020 ESMA70-151-2852 Consultation Report PTRR Services- Article 85(3a) of EMIR , Consultation Paper PDF
537.27 KB
23/10/2020 ESMA70-151-3023 Consultation Paper on Article 15 and 49 EMIR Consultation Paper PDF
581.02 KB
23/10/2020 ESMA70-151-3076 Consultation Paper on Guidelines under Article 21 of EMIR Consultation Paper PDF
409.12 KB
18/11/2021 ESMA70-151-3239 Consultation Paper on Draft RTS on safeguards for clients and indirect clients (Article 63(2) of the CCPRRR) Consultation Paper PDF
399.21 KB