ESMA LIBRARY
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ONGOING Procedure X Q&A X Reference X Market Abuse X Joint Committee X MiFID - Secondary Markets X Prospectus X Short Selling X Credit Rating Agencies X Brexit X
Reset all filters| 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 | Credit Rating Agencies, International cooperation | 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 | Credit Rating Agencies, International cooperation | Reference | PDF 574.14 KB |
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| 20/06/2012 | 2012/378 | Operation of notifications of MiFID Article 41 suspensions and removals of financial instruments from trading | MiFID - Secondary Markets | 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. | |||
| 25/07/2012 | 2012/478 | ESMA MiFID database- description of webservice | MiFID - Secondary Markets | Reference | PDF 123.71 KB |
This document provides useful information for developers wanting to use the webservice provided in ESMA's MIFID databases. | |||
| 19/10/2012 | 2012/680 | Links to national websites for the purpose of the notification of net short positions | Short Selling | Reference | PDF 84.12 KB |
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| 30/01/2013 | 2013/159 | Q&A on Implementation of the Regulation on short selling and certain aspects of credit default swaps (2nd update) | Short Selling | Q&A | PDF 873.32 KB |
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| 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 | MiFID - Secondary Markets | Reference | PDF 98.24 KB |
Deadline for applications is 3 January 2014. | |||
| 16/12/2013 | 2013/1933 | CRAs’ Market share calculation according to Article 8d of the CRA Regulation | Credit Rating Agencies | Reference | PDF 181.17 KB |
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| 10/11/2016 | 2013/68c | Protocol on the operation of ESMA MiFID Database final | MiFID - Investor Protection, MiFID - Secondary Markets | Reference | PDF 333.11 KB |
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| 23/01/2013 | 2013/87 | 2013 CRA supervision and policy work plan | Credit Rating Agencies | Reference | PDF 114.95 KB |
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| 18/06/2014 | 2014 | Joint ESA Consumer Protection Day- Programme | Warnings and publications for investors, Joint Committee | Reference | PDF 229.12 KB |
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| 06/11/2014 | 2014/1334 | MiFID database- Contact emails of national competent authorities for market participants [updated] | MiFID - Secondary Markets | Reference | PDF 138.29 KB |
ESMA has established a list of national contacts, to which questions pertaining to the content of specific entries should be sent. Please use this list to contact the relevant competent authority if you a have a query regarding shares which have been included in or ex-cluded from the list, the calculations for a specific entry or its status as liquid/not liquid. |
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| 22/12/2014 | 2014/1583 | Credit Rating Agencies’ 2014 market share calculations for the purposes of Article 8d of the CRA Regulation | Credit Rating Agencies | Reference | PDF 330 KB |
One of the objectives of the CRA Regulation is to increase competition in the markets for credit ratings by encouraging issuers to use smaller credit rating agencies. To this end, Article 8d(1) of the CRA Regulation states that where issuers or related third parties intend to appoint at least two CRAs to rate an issuance or entity, they shall consider appointing at least one CRA with no more than 10% of the total market share. They will consider this where the issuer or related third party finds that such a CRA is capable of rating the relevant issuance or entity and there is such a CRA available to rate the issuance or entity in question. Where it is not possible to appoint at least one CRA with no more than 10% of the total market share, the issuer or related third party shall document this. The obligations in Article 8d are supervised and enforced at national level by sectoral competent authorities. To help issuers and related third parties carry out this evaluation, Article 8d(2) of the CRA Regulation requires ESMA to publish a list of CRAs registered in the European Union (EU) on its website every year, indicating their total market share and the types of credit ratings issued. | |||
| 18/06/2014 | 2014/639 | Call for expressions of interest regarding the renewal of the Consultative Working Group of the ESMA Secondary Markets Standing Committee | MiFID - Secondary Markets | Reference | PDF 131.06 KB |
The European Securities and Markets Authority (ESMA) is looking to newly constitute a Consultative Working Group (CWG) for the ESMA Secondary Markets Standing Committee (SMSC) as the two-year-term of the existing CWG has recently expired. ESMA is therefore calling for expressions of interest from stakeholders to become a member of the CWG by 13 July 2014. The application form should be accompanied by a CV. The model European CV is recommended.It is optional for applicants, though recommended, to attach a letter of motivation. | |||
| 21/08/2014 | 2014/808 response form | Response form to the CP on technical advice under the Market Abuse Regulation (MAR) | Market Abuse | Reference | DOCX 792.65 KB |
Please use this form to respond to the Consultation Paper. |
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| 10/07/2015 | 2015/1174 | Public statement- ESMA registers modeFinance as credit rating agency | Credit Rating Agencies | Reference | PDF 107.03 KB |
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| 31/08/2015 | 2015/1301 reply form | Reply form to the Consultation on Draft implementing technical standards under MiFID II | MiFID - Secondary Markets | Reference | DOCX 782.52 KB |
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| 14/09/2015 | 2015/1381 | Annex to the Statement by Steven Maijoor ESAs Joint Committee- ECON Hearing 14 September 2015 | Speeches, Joint Committee | Reference | PDF 253.1 KB |
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| 28/09/2015 | 2015/1468 | Trading venue briefing | MiFID - Secondary Markets, Press Releases | Reference | PDF 304.63 KB |
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| 28/09/2015 | 2015/1469 | 2015-1469- Investment Firms briefing | MiFID - Secondary Markets, Press Releases | Reference | PDF 314.38 KB |