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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
25/09/2000 00-064c The regulation of Alternative Trading Systems in Europe. A paper for the EU Commission Final Report PDF
84.28 KB
Alternative Trading Systems (ATS) offer electronic securities trading facilities outside the traditional trading channels. An expert group chaired by Howard Davies, Chairman of the UK FSA, has studied the impact of such systems in depth. The group has prepared a comprehensive report identifying and assessing the benefits and risks associated with the emergence of ATS and analysing the current regulatory treatment of such systems, within Europe and elsewhere. The report proposes both a short term and a long term option for a harmonised regulatory treatment of such systems in Europe.The paper was submitted to the European Commission as FESCO"s contribution to the preparation of the forthcoming Green Paper on possible amendments to the Investment Services Directive. The Green Paper will shortly be published as a basis for consultation with Member States, the financial services industry and other interested parties. However, the FESCO paper noted that, while the Green Paper on the ISD might be the catalyst for a far-reaching review of the regulatory approach to ATS, it would not provide a short-term solution. Accordingly, FESCO proposed that the short-term solution should take the form of a set of additional regulatory requirements for ATS operating as investment firms.FESCO will be working on proposals for what those additional regulatory requirements might be over the next six months, with a view to producing a consultation paper in the first half of 2001. This consultation paper will provide an opportunity for interested parties to comment in detail on the FESCO proposals. If, however, in the meantime interested parties have any specific comments on the possible additional regulatory requirements identified in paragraph 71 of the September paper, they should make these known to the Secretariat of FESCO via the following e-mail address: fdankers@europefesco.org
20/06/2012 2012/378 Operation of notifications of MiFID Article 41 suspensions and removals of financial instruments from trading Reference PDF
353.3 KB
This protocol has been created to ensure effective co-operation between Competent Authorities (CAs) with respect to their obligations under Article 41 of MiFID (Suspension and removal of in-struments from trading).The purpose of the notification obligations under Article 41 is to afford investors across all Mem-ber States the same level of protection regardless of where they trade. In order to achieve this outcome, a shared understanding of the different circumstances under which trading may be suspended in different Member States according to their national law and the expected course of action under Article 41 is helpful. To ensure trading is suspended or an instrument is removed from trading in an effective and timely way, an effective communication process is necessary.The protocol will be kept under review in light of practical experience.
22/06/2012 2012/382 MiFID Q&A in the area of investor protection and intermediaries Q&A PDF
319.78 KB
06/07/2012 2012/387 Final report Guidelines on certain aspects of the MiFID suitability requirements , Final Report PDF
444.15 KB
25/07/2012 2012/478 ESMA MiFID database- description of webservice Reference PDF
123.71 KB
This document provides useful information for developers wanting to use the webservice provided in ESMA's MIFID databases.
01/08/2012 2012/490 Call for expressions of interest in ESMA's Consultative Working Group on Investor Protection and Intermediaries Standing Committee Reference PDF
130.34 KB
The deadline for responses to this call for interest has been extended two weeks, to 14 September 2012.
27/09/2012 2012/600 Annex VIII Impact assessment- Annex VIII of the Final report on draft Regulatory and Implementing Technical Standards on Regulation (EU) 648/2012 on OTC derivatives, central counterparties and trade repositories Final Report PDF
2.32 MB
19/10/2012 2012/682 Guide to investing , Reference PDF
569.39 KB
19/12/2012 2012/850 MiFID supervisory briefing- Suitability Reference PDF
238 KB
03/01/2013 2012/874 Report to the European Parliament, the Council and the Commission on the budgetary implications of Regulation (EU) No 648/2012 on OTC derivatives, central counterparties and trade repositories (EMIR) Final Report PDF
526.73 KB
24/05/2013 request for technical advice Request from the European Commission for ESMA’s technical advice on procedural rules for taking supervisory measures and imposing fines on trade repositories Reference PDF
626.54 KB
19/07/2013 MOU ACER ESMA MoU between ESMA and ACER concerning the consultation and cooperation regarding their regulatory responsibilities in relation to EU wholesale energy market Reference PDF
207.61 KB
12/09/2013 2013/08/ODRG Agreed Understandings to Resolving Cross-border Conflicts, Inconsistencies, Gaps and Duplicative Requirements Final Report PDF
442.48 KB
02/10/2013 2013/1373 ESMA Technical advice on equivalence of Australia- OTC and TR (Supplement) Final Report PDF
736.17 KB
02/10/2013 2013/1370 Technical advice on third country regulatory equivalence under EMIR – India Final Report PDF
2.44 MB
02/10/2013 2013/1375 Technical advice on third country regulatory equivalence under EMIR – Canada Final Report PDF
1.39 MB
02/10/2013 2013/1374 Technical advice on third country regulatory equivalence under EMIR – Switzerland (Supplement) Final Report PDF
117.72 KB
07/11/2013 MARKT/G2/PSDM/bh (2013) 3663122 EC letter to ESMA on reporting of ETDs Reference PDF
430.71 KB
02/12/2013 2013/1792 Call for expressions of interest regarding the establishment of the Consultative Working Group of the ESMA Market Data Reporting Working Group Reference PDF
98.24 KB
Deadline for applications is 3 January 2014.
31/03/2014 2014/03/ODRG Report of the OTC Derivatives Regulators Group (ODRG) on Cross-Border Implementation Issues Final Report PDF
159.11 KB

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