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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
19/07/2012 2011/454 MOU on the supervision of CRAs- ESMA and ASIC , Reference PDF
4 MB
This document contains two copies of the MOU, signed by ESMA and by the ASIC.
19/07/2012 2012/124 MOU on the supervision of CRAs- ESMA and MAS , Reference PDF
574.14 KB
12/11/2013 2013/1643 Cover Note- Public statement containing information on shareholder cooperation and acting in concert under the Takeover Bids Directive (ESMA/2013/1642) , Reference PDF
145.01 KB
In accordance with its mandate to take appropriate action in the context of takeover bids as per Article 1.3 of Regulation (EU) 1095/2010 (ESMA Regulation), ESMA is releasing a public statement on shareholder cooperation and acting in concert under the Takeover Bids Directive (Directive 2004/25/EC). This statement has been prepared following the review and report by the European Commission on the application of the Takeover Bids Directive and is based on information collected about the practices and application of that Directive. The statement has been prepared in order to help shareholders identify activities in relation to which they can cooperate (insofar as those activities are available to them under national company law), without that cooperation, in and of itself, leading to a conclusion that the shareholders are acting in concert and thus being at risk of having to make a mandatory bid under the Takeover Bids Directive. These activities are presented in the statement in the form of a “White List”. The statement has been prepared by the Takeover Bids Network, a permanent working group operating under the auspices of ESMA that promotes exchange of information on practices and application of the Takeover Bids Directive across the European Economic Area, thereby strengthening a common supervisory culture. The Takeover Bids Network is a specialist group composed of the national competent authorities appointed under the Takeover Bids Directive. The competent authorities represented on the ESMA Board of Supervisors are not in all cases appointed as competent authorities within the Takeover Bids Directive. The authorities not represented on the Board of Supervisors but competent within the area of takeovers are the Austrian Takeover Commission, the Irish Takeover Panel, the Oslo Stock Exchange of Norway, the Takeover Panel of Sweden and the Takeover Panel of the United Kingdom. These five authorities have contributed to the public statement and will have regard to it in the same manner as the other members of the Takeover Bids Network when assessing whether shareholders are acting in concert under their national takeover rules.
20/12/2013 2013/1970 Draft Regulatory Technical Standards on specific situations that require the publication of a supplement to the prospectus , Technical Standards PDF
713.74 KB
The Final Report contains the draft Regulatory Technical Standard (RTS) on situations which require the publication of a supplement to the prospectus which ESMA is required to submit to the European Commission by 1 January 2014 in accordance with Article 16(3) of the Prospectus Directive. The Report furthermore includes a summary of the main responses received to ESMA’s Consultation Paper which was published in March 2013. The draft RTS sets out nine situations which are always considered to be significant in the context of securities issuance and where a supplement to the prospectus will always be required. Other situations would require a case-by-case assessment.
10/01/2013 2013/8 Call for expression of interest: Consultative Working Group for ESMA’s Corporate Reporting Standing Committee Reference PDF
84.57 KB

Applications are welcome by 13.00 CET on 15 February 2013.

29/09/2014 2014/1187 Draft Regulatory Technical Standards on major shareholdings and an indicative list of financial instruments subject to notification requirements under the revised Transparency Directive , Technical Standards PDF
810.07 KB
The European Securities and Markets Authority (ESMA) has published its draft Regulatory Technical Standards (RTS) under the revised Transparency Directive relating to the notification of major shareholdings.
07/11/2014 2014/1344 ESMA Response to public consultation on the IAS Regulation , Reference PDF
305.48 KB

ESMA response to the European Commission consultation on the IAS Regulation

05/06/2014 2014/608 MMoU on Cooperation Arrangements and Exchange of Information , Reference PDF
205.85 KB

The European Securities and Markets Authority (ESMA) has published the text of a new multilateral memorandum of understanding (MMoU) between EEA national competent authorities, and between national competent authorities and ESMA which entered into force on 29 May 2014. It has been signed by 33 authorities in the securities and markets area. The new MMoU was agreed in view of the increasing internationalisation, harmonisation and interdependence of financial services and markets in the European Union. It is designed to facilitate cooperation arrangements and the exchange of information between national competent authorities, and between national competent authorities and ESMA, in the application of their responsibilities under Union law relating to the securities and markets area. It also updates and replaces a previous agreement on the Exchange of Information and Surveillance of Securities Activities agreed by the members of the Committee of European Securities Regulators (formerly the Forum of European Securities Commissions) entered into by those members on 26 January 1999. List of Signatories to MMoU on Cooperation Arrangements and Exchange of Information

16/01/2015 2015 ESMA SFC MoU MoU between ESMA and SFC regarding CCPs Reference PDF
635.27 KB
21/09/2015 2015-ESMA-1407 CFSC CWG call for candidates Reference PDF
185.16 KB
21/09/2015 2015-ESMA-1408 CFSC CWG application form Reference DOCX
39.19 KB
01/07/2015 2015/1014 Draft RTS on prospectus related issues under the Omnibus II Directive Technical Standards PDF
949.89 KB
04/12/2015 2015/1407 rev Call for expression of interest- Renewal of the Corporate Finance Consultative Working Group , Reference PDF
186.07 KB
04/12/2015 2015/1408 rev Application form for Corporate Finance Consultative Working Group , Reference DOCX
38.7 KB
25/09/2015 2015/1463 reply form ESEF Form to reply ESEF , Reference DOCX
784.27 KB
25/09/2015 2015/1463 reply form ESEF CBA Form to reply ESEF CBA , , Reference DOCX
872.33 KB
22/10/2015 2015/1596 Standard form for disclosure of Home Member State , Reference DOCX
344.53 KB
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22/10/2015 2015/1597 Standard form for major holdings , Reference DOCX
350.81 KB
22/10/2015 2015/1598 Indicative List of Financial Instruments , Reference DOCX
338.2 KB
22/10/2015 2015/1599 ESMA briefing on amended TD documents , Reference PDF
133.16 KB

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