ESMA LIBRARY
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Reset all filtersDate | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
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15/03/2000 | 00-FESCO-A | Implementation of Article 11 of the ISD: Categorisation of investors for the purpose of Conduct of Business Rules | CESR Archive | CESR Document | PDF 62.07 KB |
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01/09/2000 | 00-099b | Stabilisation and Allotment: «A European Supervisory approach» | CESR Archive | Speech | PDF 68.35 KB |
With this paper, FESCO proposes : (1) a harmonised regulatory treatment of stabilisation practices by way of defining a | |||
15/11/2000 | Fesco/99-127 | 1999-2000 Report on the activities of FESCO | CESR Archive | Annual Report | PDF 378.9 KB |
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14/01/2002 | 02-002 | Proposed Standards for Alternative Trading Systems- Feedback statement | CESR Archive | CESR Document | PDF 419.83 KB |
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05/03/2002 | 02-039b | Interim Report on the Activities of CESR to the European Commission | CESR Archive | Annual Report | PDF 59.08 KB |
Interim report on the activities of the Committee of European Securities Regulators (CESR) to the European Commission and sent to the European Parliament and the European Securities Committee. | |||
09/04/2002 | 01-014d | A European Regime of Investor Protection – The Harmonisation of Conduct of Business Rules | CESR Archive | CESR Document | PDF 133.19 KB |
This set of Standards and Rules provides harmonised core conduct of business rules for retail investors in the following areas: Standards and Rules of general application, information to be provided to customers, the "know your customer" standards and the duty of care, customers agreements, dealing requirements (including the "best execution" standards) and individual discretionary portfolio management. The profesional and counterparty regime, including the categorisation of investors paper, requires further work by CESR. | |||
09/04/2002 | 02-020b | Stabilisation and Allotment – European Supervisory Approach | CESR Archive | CESR Document | PDF 93.51 KB |
This paper provides harmonised standards for stabilisation practices in the context of a public offer and an harmonised disclosure regime for the Allotment of securities as well as some basic principles of the Allotment process. This work has not been elaborated under a formal mandate of the EU Commission in the context of the future Directives on Insider Dealing and Market Manipulation or the future Directive on Prospectuses. However, these standards represent an important "acquis" for any future work to be undertaken on the same subject. A summary of the responses to the second consultation (Ref. CESR/02-060) is published in the "Recent Publications". | |||
08/07/2002 | 02-098b | A European Regime of Investor Protection – The Professional and Counterparty Regimes | CESR Archive | CESR Document | PDF 63.43 KB |
This paper completes the work conducted by CESR on the harmonization of conduct of business rules under the existing Article 11 of the Investment Services Directive. It complements the document (CESR/01-014d) adopted in April 2002 on the so called "retail regime", i.e. the regime applicable to investment services provided to non-professional customers. The paper builds on the proposal for the "Categorisation of investors for the purpose of conduct of business rules". The paper contains: I) core conduct of business rules which should apply to investment services between investment firms and professionals and II) core standards for "counterparty relationships". | |||
08/07/2002 | 02-086b | Standards for Alternative Trading Systems | CESR Archive | CESR Document | PDF 124.16 KB |
CESR published today common European Standards for Alternative Trading Systems (ATSs). This paper sets outs standards for ATSs in the European Economic Area (EEA) with a view to providing appropriate regulation of investments firms operating ATSs under the current ISD. It builds on FESCO's report to the European Commission on the Regulation of Alternative Trading Systems in Europe, which was published in September 2000. Also published today was a feedback statement summarising the responses received in the final round of consultation (Ref. CESR/02-087b) | |||
01/01/2003 | 2001-2002 | CESR Annual Report for 2001-2002 | CESR Archive | Annual Report | PDF 12.39 MB |
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08/01/2003 | 02-287b | Feedback Statement on CESR's advice on Level 2 Implementing measures for the proposed Market Abuse Directive | CESR Archive | CESR Document | PDF 245.84 KB |
CESR publishes today the Feedback Statement to its technical advice, submitted to the European Commission on Tuesday 31st December 2002, on level 2 implementing measures in connection with certain aspects of the Directive on Insider Dealing and Market Manipulation (Market Abuse). | |||
01/03/2003 | 03-073 | Standard No. 1 on Financial Information | CESR Archive | CESR Document | PDF 147.6 KB |
During the seventh meeting of CESR held in Paris on 21 March 2003, the first CESR standard on Financial Information: Enforcement of standards on financial information in Europe was approved. The standard is being published today along with a feedback statement summarising the responses received during the consultation process (Ref. CESR/03-074). The standard represents a significant part of CESR\'s contribution to the task of developing and implementing a common approach to the enforcement of International Financial Reporting Standards (IFRS) in Europe. The feedback statement can be viewed under the heading "Recent Publications". | |||
06/03/2003 | 03-055 | A network of regulators to meet the challenges of regulating European Capital Markets by Arthur Docters van Leeuwen | CESR Archive | Speech | PDF 96.06 KB |
Text of the speech given by the CESR Chairman, Arthur Docters van Leeuwen, on 6th March 2003 at the Guildhall in London. | |||
02/04/2003 | 03-074 | Feedback statement on the consultation on the statement of principles on the enforcement of standards of financial information | CESR Archive | CESR Document | PDF 92.17 KB |
During the seventh meeting of CESR held in Paris on 21 March 2003, the first CESR standard on Financial Information: Enforcement of standards on financial information in Europe (Ref. CESR/03-073) was approved. The standard is being published today along with a feedback statement summarising the responses received during the consultation process (Ref. CESR/03-074). The standard represents a significant part of CESR"s contribution to the task of developing and implementing a common approach to the enforcement of International Financial Reporting Standards (IFRS) in Europe. The Standard No. 1 can be viewed under the heading "Standards". | |||
02/04/2003 | 03-115 | Speech by Kaarlo Jännäri, Vice-chairman of CESR, at the European Compliance Conference | CESR Archive | Speech | PDF 101.85 KB |
TECC Lucerne, 2-4 April 2003 | |||
25/04/2003 | 03-067b | Additional Public Hearing on possible implementing measures of the Prospectus Directive: Draft Feedback Statement | CESR Archive | CESR Document | PDF 220.18 KB |
On Monday 31st March 2003, the European Commission, considering that the European Parliament has not started the second reading on the prospectus proposal, has invited CESR to provide its technical advice on issues initially required for 31st March by July 31st 2003. CESR welcomes this extension and has decided to hold an additional open hearing that will take place at CESR | |||
06/05/2003 | 03-129 | Additional Draft Feedback Statement on Level 2 Implementing measures for the proposed Prospectus Directive | CESR Archive | CESR Document | PDF 131.89 KB |
On Monday 31st March 2003, the European Commission, considering that the European Parliament has not started the second reading on the prospectus proposal, has invited CESR to provide its technical advice on issues initially required for 31st March by July 31st 2003. CESR welcomes this extension and has decided to hold an additional open hearing that will take place at CESR | |||
01/07/2003 | 03-209 | Feedback Statement- CESR sends to the European Commission its Final Advice on Disclosure Obligations for listed and issuing companies | CESR Archive | CESR Document | PDF 388.26 KB |
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03/07/2003 | 03-174b | Interim Report on the Activities of CESR to the European Commission | CESR Archive | Annual Report | PDF 129.89 KB |
CESR publishes today its Interim Report on the Activities of CESR to the European Commission. This report aims at providing half year information on the activities of CESR to the European Commission, the European Parliament and the European Securitities Committee. The report focuses on the functioning of CESR, "Level 2 work and "Level 3 work" as well as providing an indicative timetable for the CESR work plans. | |||
03/09/2003 | 03-213b | CESR's Advice on the Second Set of Implementing Measures for the Market Abuse Directive- Feedback Statement | CESR Archive | CESR Document | PDF 156.6 KB |
The Committee of European Securities Regulators (CESR) released today the Advice on the Second Set of Implementing Measures for the Market Abuse Directive (Ref. CESR/03-212c), accompanied by a Feedback Statement (Ref. CESR/03-213b). |