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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|04/04/2017||33-9-149||Update of the guidelines on the application of the endorsement regime under Article 4(3) of the Credit Rating Agencies Regulation||Credit Rating Agencies||Consultation Paper||PDF
Endorsement is one of two regimes provided in the CRA Regulation that allow credit ratings issued in a third country to be used for regulatory purposes in the EU – the other being equivalence/certification. Article 21(3) of the CRA Regulation requires ESMA to issue and update guidelines on the application of the endorsement regime specified under Article 4(3) of the same Regulation. This Consultation Paper proposes to update the previously issued 2011 Guidelines on Endorsement.
|30/12/2004||04-717 annex 1||Trade data- annex to Consultation on CESR's draft advice on the second set of mandates from the European Commission on the Markets in Financial Instruments Directive (MiFID)||CESR Archive||Consultation Paper||PDF
|30/12/2004||04-717 annex 6||Trade data The Netherlands- annex to Consultation on CESR's draft advice on the second set of mandates from the European Commission on the Markets in Financial Instruments Directive (MiFID)||CESR Archive||Consultation Paper||PDF
|30/12/2004||04-717 annex 4||Trade data Iceland- annex to Consultation on CESR's draft advice on the second set of mandates from the European Commission on the Markets in Financial Instruments Directive (MiFID)||CESR Archive||Consultation Paper||PDF
|30/12/2004||04-717 annex 3||Trade data Hungary- annex to Consultation on CESR's draft advice on the second set of mandates from the European Commission on the Markets in Financial Instruments Directive (MiFID)||CESR Archive||Consultation Paper||PDF
|30/12/2004||04-717 annex 2||Trade data Germany- annex to Consultation on CESR's draft advice on the second set of mandates from the European Commission on the Markets in Financial Instruments Directive (MiFID)||CESR Archive||Consultation Paper||PDF
|30/12/2004||04-717 annex 5||Trade data Euronext parameters- annex to Consultation on CESR's draft advice on the second set of mandates from the European Commission on the Markets in Financial Instruments Directive (MiFID)||CESR Archive||Consultation Paper||PDF
|06/04/2004||04-104b||The role of CESR at Level 3 of the Lamfalussy process (63 pages- annex 4 pages 14-63)||CESR Archive||Consultation Paper||PDF
|This consultation paper aims at presenting the views of the Committee of European Securities Regulators (CESR) on how it should organize its role at level 3 under the Lamfalussy procedure. The paper is structured in two parts. The first section provides an introduction and description of the current general principles governing the way in which the Lamfalussy approach and in particular the level 3 should work. The second section sets out in a more detailed manner the organization of CESR|
|18/10/2001||01-013b||The harmonization of conduct of business rules||CESR Archive||Consultation Paper||PDF
|CESR has issued its revised proposals for the harmonization of conduct of business rules. The second round of public consultation covers the following documents: the revised proposal for the investor protection regimes (Ref.CESR/01-014),and the revised paper on the categorisation of investors (Ref.CESR/01-015.). The process of revision of the initial proposals and an explanation of major changes has been given in a cover-note (Ref. CESR/01-013).Please send your responses to the secretariat by November 15, 2001 at firstname.lastname@example.org.|
|12/07/2013||2013/925||The Clearing Obligation under EMIR||Post Trading||Consultation Paper||PDF
The European Securities and Markets Authority (ESMA) is publishing this discussion paper in order to seek stakeholders’ views on the preparation of the regulatory technical standards ESMA is required to draft under Article 5(2) “Clearing Obligation Procedure” of the Regulation (EU) No 648/2012 of the European Parliament and Council on OTC derivatives, central counterparties and trade repositories (EMIR). The input from stakeholders will help ESMA in the development of the relevant technical standards to be drafted and submitted to the European Commission for endorsement in the form of Commission Regulations, i.e. a legally binding instrument directly applicable in all Member States of the European Union. One essential element in the development of draft technical standards is the analysis of the costs and benefits that those legal provisions will imply. Input in this respect and any supportive data will be highly appreciated and kept confidential where required. Please respond to the consultation using the response template. The closing date for responses is 12 September 2013.
|01/09/2008||3L3 Commission consultation||The 3 Level 3 Committees’ Joint Response to the European Commission’s Public Consultation Paper on Amendments to Commission Decisions establishing CESR, CEBS & CEIOPS||CESR Archive||Consultation Paper||PDF
|09/11/2018||ESMA35-36-1262||Technical Q&As on product intervention measures on CFDs and binary options||MiFID - Investor Protection||Q&A||PDF
|23/06/2015||JC/DC/2015/01||Technical Discussion Paper (DP) on the PRIIPs Key Information Document (KID)||Fund Management, Joint Committee||Consultation Paper||PDF
|EBA, EIOPA, and ESMA (the ESAs) welcome comments on this Technical Discussion Paper on Risk, Performance Scenarios and Cost Disclosures in Key Information Documents for Packaged Retail and Insurance-based Investment Products (PRIIPs). The discussion paper is available on the websites of the three ESAs. Comments on this discussion paper can be sent using the response form, via the ESMA website under the heading ‘Your input/Consultations’ by 17 August 2015. Contributions not received in Word, or sent to an email address, or after the deadline, will not be processed. It is important to note that although you may not be able to respond to each and every question, the ESAs would encourage partial responses from stakeholders on those questions that they believe are most relevant to them. Publication of responses All contributions received will be published following the close of the consultation, unless you request otherwise. 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 the ESAs’ rules on public 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 the Board of Appeal of the ESAs and the European Ombudsman. Data protection Information on data protection can be found on the different ESAs’ websites under the heading ‘Legal notice’.|
|19/12/2016||2016/1672||Technical advice to the Commission on fees for TRs under SFTR and on certain amendments of for fees under EMIR||Post Trading||Consultation Paper||PDF
Reasons for publication
On 15 January 2016 the European Securities and Markets Authority (ESMA) received a formal request from the European Commission (Commission) to provide technical advice to assist the Commission in formulating a Regulation on fees for Trade Repositories (TRs) under SFTR by a delegated act.
The present report contains nine sections. Section 1 refers to the Executive Summary of the report. Section 2 explains the background to our proposals. Section 3 outlines the ESMA’s expected costs. Section 4 establishes the general approach for the determination of fees under EMIR and SFTR. Section 5 explains how ESMA will manage surpluses and deficits under EMIR and SFTR. Section 6 points out the rationale and computation of TRs fees for registration and extension of registration under SFTR. Sections 7 and 8 present the supervision fees under EMIR and SFTR and recognition fees under SFTR. Section 9 refers to the conditions of payment and reimbursement and, finally, Section 10 addresses the instances where delegation to NCAs takes place. Annex I contains the summary of the questions posed by ESMA and Annex II includes the Commission’s mandate to ESMA.
The amendments to fees under EMIR that are consulted in this document are required in order to ensure level –playing field with the ESMA’s fees to TRs under SFTR.
ESMA will consider the feedback it receives to this consultation in Q1 2017 and expects to publish and submit a final report of the technical advice to the European Commission for endorsement by end of Q1/beginning of Q2 of 2017.
|01/08/2003||03-539||Standards for Securities Clearing and Settlement Systems in the European Union||CESR Archive||Consultation Paper||PDF
|The Committee of European Securities Regulators (CESR) and the European System of Central Banks (ESCB) have published today two documents entitled|
|25/01/2016||2016/96||Slides from ESMA’s Open Hearing on validation and review of CRAs’ methodologies||Credit Rating Agencies||Consultation Paper||PDF
|13/05/2022||JC 2022 26||SFDR queries forwarded to the Commission||Joint Committee, Sustainable finance||Q&A||PDF
|01/06/2001||01-037b||Second Consultation Paper "Stabilisation and Allotment- an European supervisory Approach"||CESR Archive||Consultation Paper||PDF
|Fesco consults on a revised version of the earlier consulation paper published in September 2000. The purpose of the paper is to offer substantial harmonisation of key elements of the offering process. The paper has been prepared by an expert group chaired by Kaarlo J|
|01/08/2003||03-538||Scope of Application- CESR/ESCB Standards for Securities Clearing and Settlement Systems in the European Union||CESR Archive||Consultation Paper||PDF
|12/07/2021||ESMA91-372-1356||RTS CCPRRR Recovery Plan Factors||CCP Directorate||Consultation Paper||PDF