ESMA LIBRARY

The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
89
DOCUMENTS

REFINE YOUR SEARCH

Sections

Type of document

Your filters
Corporate Governance X International cooperation X Securities and Markets Stakeholder Group X Warnings and publications for investors X Securitisation X Corporate Finance X Consultation Paper X Annual Report X SMSG Advice X
Reset all filters

Pages

Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
14/09/2011 2011/288 Call for evidence- Empty voting Corporate Disclosure, Corporate Governance, Transparency Consultation Paper PDF
81.13 KB
28/10/2011 2011/SMSG/11 Response to ESMA's Consultation paper on guidelines on systems and controlsin a highly automated trading environment for trading platforms, investmentfirms and competent authorities Securities and Markets Stakeholder Group SMSG Advice PDF
48.99 KB
28/10/2011 2011/SMSG/12 Position paper- ESMA's Consultation on systems and controls in a highly automated trading environment for trading platforms, investment firms and competent authorities Securities and Markets Stakeholder Group SMSG Advice PDF
59.19 KB
28/10/2011 2011/SMSG/13 Advice on ESMA's draft technical advice to the European Commission on possible implementing measures of the Alternative Investment Fund Man-agers Directive in relation to supervision and third countries Securities and Markets Stakeholder Group SMSG Advice PDF
88.23 KB
01/12/2011 2011/SMSG/18 Advice on ESMA's public consultation on UCITS Exchange traded funds in the European Union Securities and Markets Stakeholder Group SMSG Advice PDF
149.17 KB
02/02/2012 2012/SMSG/6 Letter regarding deadlines for the submission of ESMA’s technical standards Securities and Markets Stakeholder Group SMSG Advice PDF
82.35 KB		 A letter from the ESMA Securities and Markets Stakeholder Group to Michel Barnier, Commissioner for Internal Market and Services, Sharon Bowles, Chair of ECON, and Klaus-Heiner Lehne, Chair of JURI, regarding deadlines for the submission of ESMA's technical standards.
28/02/2012 2012/SMSG/11 Advice on Guidelines on certain aspects of the MiFID suitability requirements Securities and Markets Stakeholder Group SMSG Advice PDF
138.1 KB
28/02/2012 2012/SMSG/12 Advice on Guidelines on certain aspects of the MiFID compliance function requirements Securities and Markets Stakeholder Group SMSG Advice PDF
83.35 KB
22/03/2012 2012/212 Discussion Paper- An Overview of the Proxy Advisory Industry. Considerations on Possible Policy Options Corporate Disclosure, Corporate Governance Consultation Paper PDF
524.85 KB		 This Discussion Paper focuses on the development of the proxy advisory industry in Europe, which mainly serves institutional investors such as asset managers, mutual funds and pension funds. Following its fact-finding work in 2011, ESMA recognises the proxy advisory industry within Europe is, or is expected to be, growing in prominence and investors are, or are expected to be, increasingly using proxy advisor services. In this paper ESMA identifies several key issues related to the proxy advisory market which may have an impact on the proper functioning of the voting process. The range of policy options that ESMA will consider, and on which it seeks further input from market participants, consists of four broad areas, including: 1.    No EU-level action at this stage 2.    Encouraging Member States and/or industry to develop standards 3.    Quasi-binding EU-level regulatory instruments 4.    Binding EU-level legislative instruments ESMA will consider these options based on the feedback it receives from market participants, and, if appropriate, will undertake further policy action, either directly or by providing an opinion to the European Commission. The reason to bring up some policy options is due to the fact that proxy advisors are currently not regulated at a pan-European level. Nevertheless, there are relevant European rules that apply to investors (e.g. for UCITS management companies when exercising voting rights). In addition, there are also well-recognised corporate governance standards that apply to issuers at a national level (based on the “comply or explain approach”) and some complements to improve standards of stewardship among investors. All feedback received from this Discussion Paper will be duly considered. ESMA expects to publish a feedback statement in Q4 of 2012 which will summarise the responses received and will state ESMA’s view on whether there is a need for policy action in this area.
27/09/2012 2012/SMSG/60 SMSG advice on Guidelines on sound remuneration policies under the AIFMD Securities and Markets Stakeholder Group SMSG Advice PDF
81.39 KB
12/10/2012 2012/SMSG/59 Securities and Markets Stakeholder Group – Report on Helping Small and Medium Sized Companies Access Funding Securities and Markets Stakeholder Group SMSG Advice PDF
497.32 KB
20/12/2013 2013/SMSG/017 Advice on Consultation Paper – Draft Regulatory Technical Standards on contracts having a direct, substantial and foreseeable effect within the Un-ion and non-evasion of provisions of EMIR Securities and Markets Stakeholder Group SMSG Advice PDF
27.43 KB
20/12/2013 2013/SMSG/018 Advice on Discussion Paper – The Clearing Obligation under EMIR Securities and Markets Stakeholder Group SMSG Advice PDF
46.94 KB
20/12/2013 2013/SMSG/020 Response to the Consultation Paper ESMA Guidelines on enforcement of financial information Securities and Markets Stakeholder Group SMSG Advice PDF
67.09 KB
29/04/2014 2014/SMSG/14 SMSG reply to ESMA consultation on CRA3 Implementation Securities and Markets Stakeholder Group SMSG Advice PDF
95.17 KB
05/05/2014 2014/SMSG/10 SMSG position paper on Crowdfunding Securities and Markets Stakeholder Group SMSG Advice PDF
131.44 KB
04/06/2014 2014/SMSG/30 SMSG reply to ESMA consultation on draft RTS for the transparency directive Securities and Markets Stakeholder Group SMSG Advice PDF
160.14 KB
07/07/2014 2014/SMSG/11 SMSG reply to ESMA DP on Market Abuse Regulation Securities and Markets Stakeholder Group SMSG Advice PDF
209.54 KB
07/07/2014 2014/SMSG/15 SMSG position paper on Alternative Performance Measures Securities and Markets Stakeholder Group SMSG Advice PDF
145.69 KB
03/09/2014 2014/SMSG/38 SMSG advice- Transparency for the trading of non-equity instruments Securities and Markets Stakeholder Group SMSG Advice PDF
112.76 KB

Pages