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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
19/11/2004 04-614 Work plan for future work on MiFID Reference PDF
53.83 KB
24/08/2007 VDP VDP response Reference PDF
129.3 KB
21/05/2008 08-316 Use of the Criteria defined in Article 22 of the Commission Regulation (EC) No 1287/2006 to determine liquid shares Reference PDF
87.19 KB
28/09/2015 2015/1468 Trading venue briefing , Reference PDF
304.63 KB
04/04/2016 2016/227 ToR SMSC Reference PDF
143.74 KB
11/02/2016 2016/214 ToR OWG Prospectus Reference PDF
87.64 KB
04/04/2016 2016/221 ToR MDSC Reference
11/02/2016 2016/210 ToR CDTF Reference PDF
134.83 KB
30/10/2003 03-378b The role of CESR in the regulation and supervision of UCITS and asset management in the EU Reference PDF
123.55 KB
CESR publishes today a consultation paper setting out how it proposes to prepare for its new role in the regulation of Asset Management and Unit Collective Investment Schemes (UCITS) in Europe. This also includes establishing how European securities regulators will work until these responsibilities are transferred from the UCITS Contact Committee established by the European Commission to CESR and includes specific areas where CESR proposes to begin work. CESR sets out the three principles that will underpin its work in this area until it formally receives responsibility for providing advice to the Commission for portfolio management activities from the European Union. These principles include the commitment that: Any future work done by CESR regarding UCITS would have to be conducted in full coherence with the EU institutional framework; CESR should take in a global vision of the so-called
28/10/2004 04-527b The role of CESR at Level 3 under the Lamfalussy Process Reference PDF
233.17 KB
07/11/2007 07-306 The European Single market in securities in 2006: A factbook on Markets and Supervision Reference PDF
2.39 MB
04/06/2004 04-241 final Terms of reference for the cooperation and collaboration regarding market risks and regulatory projects between the US SEC and CESR Reference PDF
48.19 KB
02/08/2006 06-117b Terms of reference for CESR-Fin Reference PDF
100.14 KB
19/12/2017 ESMA70-156-185 Template for reporting circuit breakers parameters to ESMA Reference XLSX
41.46 KB
09/06/2010 10-333 Technical Advice- The Equivalence between the Japanese Regulatory and Supervisory Framework and the EU Regulatory Regime for Credit Rating Agencies , Technical Advice PDF
4.59 MB
01/04/2020 ESMA70-156-2287 Technical Advice to the European Commission on weekly position reports under MiFID II , Technical Advice PDF
231.84 KB
19/12/2014 2014/1569 Technical Advice to the Commission on MiFID II and MiFIR , 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).
04/03/2004 03-427b Synthesis Table” regarding CESR Standards for Investor Protection (49 pages) Reference PDF
1.33 MB
The so-called
04/03/2004 03-432b Synthesis Table” regarding CESR Standards for Alternative Trading Systems Reference PDF
153.77 KB
The so-called
30/11/2006 06-260 Survey on the role of securities regulators in auditor oversight of public listed companies, and on their powers in relation to auditors of these companies Reference PDF
114 KB

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