ESMA LIBRARY
The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
78
REFINE YOUR SEARCH
Sections
- (-) Remove Joint Committee filter Joint Committee
- (-) Remove Prospectus filter Prospectus
- (-) Remove Innovation and Products filter Innovation and Products
- (-) Remove European Single Electronic Format filter European Single Electronic Format
- (-) Remove Securities and Markets Stakeholder Group filter Securities and Markets Stakeholder Group
- CESR Archive (395) Apply CESR Archive filter
- MiFID - Secondary Markets (111) Apply MiFID - Secondary Markets filter
- MiFID - Investor Protection (85) Apply MiFID - Investor Protection filter
- Post Trading (76) Apply Post Trading filter
- Market Integrity (41) Apply Market Integrity filter
- Short Selling (39) Apply Short Selling filter
- Fund Management (37) Apply Fund Management filter
- Corporate Disclosure (34) Apply Corporate Disclosure filter
- Supervisory convergence (34) Apply Supervisory convergence filter
- Risk Analysis & Economics - Markets Infrastructure Investors (32) Apply Risk Analysis & Economics - Markets Infrastructure Investors filter
- Market Abuse (26) Apply Market Abuse filter
- Credit Rating Agencies (23) Apply Credit Rating Agencies filter
- CCP Directorate (18) Apply CCP Directorate filter
- IFRS Supervisory Convergence (15) Apply IFRS Supervisory Convergence filter
- COVID-19 (14) Apply COVID-19 filter
- Guidelines and Technical standards (12) Apply Guidelines and Technical standards filter
- Benchmarks (10) Apply Benchmarks filter
- Market data (10) Apply Market data filter
- Securitisation (9) Apply Securitisation filter
- Sustainable finance (9) Apply Sustainable finance filter
- Trading (8) Apply Trading filter
- Securities Financing Transactions (7) Apply Securities Financing Transactions filter
- Brexit (6) Apply Brexit filter
- Trade Repositories (6) Apply Trade Repositories filter
- Corporate Information (5) Apply Corporate Information filter
- Corporate Finance (4) Apply Corporate Finance filter
- Transparency (4) Apply Transparency filter
- Board of Supervisors (2) Apply Board of Supervisors filter
- Corporate Governance (2) Apply Corporate Governance filter
- Crowdfunding (2) Apply Crowdfunding filter
- Press Releases (2) Apply Press Releases filter
- Audit (1) Apply Audit filter
- IAS Regulation (1) Apply IAS Regulation filter
- Warnings and publications for investors (1) Apply Warnings and publications for investors filter
Type of document
- (-) Remove Final Report filter Final Report
- (-) Remove Opinion filter Opinion
- (-) Remove Q&A filter Q&A
- (-) Remove CESR Document filter CESR Document
- Reference (182) Apply Reference filter
- SMSG Advice (89) Apply SMSG Advice filter
- Guidelines & Recommendations (82) Apply Guidelines & Recommendations filter
- Press Release (53) Apply Press Release filter
- Summary of Conclusions (53) Apply Summary of Conclusions filter
- Letter (45) Apply Letter filter
- Report (44) Apply Report filter
- Consultation Paper (41) Apply Consultation Paper filter
- Statement (25) Apply Statement filter
- Speech (23) Apply Speech filter
- Decision (9) Apply Decision filter
- Compliance table (6) Apply Compliance table filter
- Technical Advice (5) Apply Technical Advice filter
- Annual Report (3) Apply Annual Report filter
- Technical Standards (3) Apply Technical Standards filter
- Investor Warning (2) Apply Investor Warning filter
Your filters
Q&A X Opinion X CESR Document X Final Report X Securities and Markets Stakeholder Group X Innovation and Products X European Single Electronic Format X Prospectus X Joint Committee X
Reset all filtersDate | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
---|---|---|---|---|---|---|---|---|---|
18/12/2014 | 2014/1560 | Advice- Investment-based crowdfunding | Innovation and Products | Final Report | PDF 482.2 KB |
Crowdfunding is a means of raising finance for projects from ‘the crowd’ often by means of an internet-based platform through which project owners ‘pitch’ their idea to potential backers, who are typically not professional investors. It takes many forms, not all of which involve the potential for a financial return. ESMA’s focus is on crowdfunding which involves investment, as distinct from donation, non-monetary reward or loan agreement.Crowdfunding is relatively young and business models are evolving. EU financial services rules were not designed with the industry in mind. Within investment-based crowdfunding a range of different operational structures are used so it is not straightforward to map crowdfunding platforms’ activities to those regulated under EU legislation. Member States and NCAs have been working out how to treat crowdfunding, with some dealing with issues case-by-case, some seeking to clarify how crowdfunding fits into existing rules and others introducing specific requirements.To assist NCAs and market participants, and to promote regulatory and supervisory convergence, ESMA has assessed typical investment-based crowdfunding business models and how they could evolve, risks typically involved for project owners, investors and the platforms themselves and the likely components of an appropriate regulatory regime. ESMA then prepared a detailed analysis of how the typical business models map across to the existing EU legislation, set out in sections 1 to 6 of this document. | |||
09/03/2016 | ESAs/2016/22 | Annexes to RTS on Risk Mitigation LegisWrite | Joint Committee | Final Report | PDF 297.23 KB |
||||
10/06/2013 | 2013/619 | Comparison of liability regimes in Member States in relation to the Prospectus Directive | Prospectus, Corporate Disclosure | Final Report | PDF 596.91 KB |
The European Securities and Markets Authority (ESMA) has published a report on the Comparison of liability regimes in Member States in relation to the Prospectus Directive. This is the first report of its kind and provides a comparison of liability regimes covering the EEA – comprising the 27 EU Member States along with Iceland and Norway and is aimed at providing clarity for market participants about the different regimes in place. The report contains an overview of the different arrangements and frameworks in place in EEA States to address administrative, criminal, civil and governmental liability, and provides clarity to market participants about the different regimes in place. The report was compiled in response to a European Commission request of January 2011 for assistance in identifying and monitoring the different regimes in EEA states. The report does not cover how the regimes, or sanctions, are applied. Report Comparison of liability regimes in Member States in relation to the Prospectus Directive Annex II Comparative table of responses from EEA States Annex III Individual responses from EEA States | |||
07/06/2019 | ESMA32-60-474 | Draft RTS amending Delegated Regulation (EU) 2018/815 on the updates of the taxonomy to be used for the ESEF | Corporate Disclosure, European Single Electronic Format | Final Report | PDF 6.5 MB |
||||
11/04/2012 | JC/2011/97 | EBA, ESMA and EIOPA’s Report on the legal and regulatory provisions and supervisory expectations across EU Member States of Simplified Due Diligence requirements where the customers are credit and financial institutions under the Third Money Laundering Di | Joint Committee | Final Report | PDF 476.47 KB |
||||
11/04/2012 | JC/2011/96 | EBA, ESMA and EIOPA’s Report on the legal, regulatory and supervisory implementation across EU Member States in relation to the Beneficial Owners Customer Due Diligence requirements under the Third Money Laundering Directive [2005/60/EC] | Joint Committee | Final Report | PDF 552.11 KB |
||||
26/07/2021 | SFDR EC Q&A | EC Q&A on sustainability-related disclosures | Joint Committee, Sustainable finance | Q&A | PDF 601.99 KB |
||||
30/11/2021 | SFDR EC Q&A CORRECTION | EC Q&A on sustainability-related disclosures- correction | Joint Committee, Sustainable finance | Q&A | PDF 87.19 KB |
||||
23/07/2015 | 2015/1136 | EEA prospectus activity in 2014 | Prospectus, Corporate Disclosure | Final Report | PDF 578.07 KB |
||||
24/10/2012 | JC/CP/2012/01 Feedback statement | ESA feedback statement on the Joint CP on Financial Conglomerates | Joint Committee | CESR Document | PDF 82.95 KB |
||||
07/12/2012 | JC/2012/86 | ESA report on the application of AML/CTF obligations to, and the AML/CTF supervision of e-money issuers, agents and distributors in Europe. | Joint Committee | Final Report | PDF 476.42 KB |
||||
25/08/2021 | Joint Committee | ESAs 2020 Final Report on EMIR RTS on various amendments to the bilateral margin requirements in view of the international framework | Joint Committee | Final Report | PDF 338.72 KB |
||||
26/03/2021 | JC 2021 16 | ESAs’ Opinion to the European Commission on the Jurisdictional Scope of Application of the SECR | Joint Committee, Securitisation | Opinion | PDF 339.91 KB |
||||
23/10/2014 | 2014/1276 | ESMA Data on Prospectuses Approved and Passported – January 2013 to December 2013 | Prospectus, Corporate Disclosure | Final Report | PDF 285.12 KB |
The report compiles statistical data regarding the number of prospectuses approved and passported by National Competent Authorities in the period from January 2013 to December 2013 (with a quarterly disclosure). | |||
23/10/2014 | 2014/1277 | ESMA Data on Prospectuses Approved and Passported – January 2014 to June 2014 | Prospectus, Corporate Disclosure | Final Report | PDF 211.96 KB |
The report compiles statistical data regarding the number of prospectuses approved and passported by National Competent Authorities in the period from January 2014 to June 2014 (with a quarterly disclosure). | |||
25/09/2012 | 2012/602 | ESMA Data on Prospectuses Approved and Passported- January 2011 to December 2011 | Prospectus, Corporate Disclosure | Final Report | PDF 573.49 KB |
||||
25/09/2012 | 2012/603 | ESMA Data on Prospectuses Approved and Passported- January 2012 to June 2012 | Prospectus, Corporate Disclosure | Final Report | PDF 431.12 KB |
NOTE: This Report is an amended version of the Report published on 25 September 2012. The previously published Report was amended on 15 May 2013 following the discovery of factual errors in the statis-tical information in Section III.2. Title ESMA Data on Prospectuses Approved and Passported - January 2012 to June 2012 | |||
14/06/2013 | 2013/741 | ESMA Data on Prospectuses Approved and Passported—January 2012 to December 2012 | Prospectus, Corporate Disclosure | Final Report | PDF 457.11 KB |
The report compiles statistical data regarding the number of prospectuses approved and passported by National Competent Authorities in the period from January 2012 to December 2012 (with a quarterly disclosure). | |||
18/12/2013 | 2013/1943 | ESMA Data on Prospectuses Approved and Passported—January 2013 to June 2013 | Prospectus, Corporate Disclosure | Final Report | PDF 338.17 KB |
||||
15/07/2020 | ESMA31-62-1426 | ESMA Guidelines on disclosure requirements under the Prospectus Regulation | Prospectus | Final Report | PDF 1.41 MB |