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| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 03/08/2012 | OJ/26/06/2012 - tendes specs | Tender specifications- Annex VII- Financial porposal | Procurement | Reference | PDF 47.23 KB |
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| 16/08/2012 | QA 84 - 87 OJ/26/06/2012-PROC/2012/004 | Q&A 84-87 regarding tender ESMA registers | Procurement | Reference | PDF 82.32 KB |
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| 11/01/2013 | EBA/REC/2013/01 | EBA Recommendations on supervisory oversight of activities related to banks’ participation in the Euribor panel | Risk Analysis & Economics - Markets Infrastructure Investors | Reference | PDF 207.84 KB |
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| 11/03/2013 | 2013/280 | Vacancy notice- Chair of Committee drafting a proxy advising industry Code of Conduct | Corporate Finance, Corporate Governance | Reference | PDF 102.91 KB |
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| 04/04/2013 | 2013/302 | ESMA’s Technical Advice to the Commission on Fees for Trade Repositories | Post Trading | Technical Advice | PDF 1.08 MB |
On 14 January 2013 ESMA received a formal request from the European Commission (the Commission) to provide technical advice to assist the Commission in formulating a Regulation on fees for Trade Repositories (TRs) by a delegated act. In order to deliver its advice to the Commission, ESMA consulted market participants regarding the proposed fee structures for registration, supervision and recognition of TRs. Respondents to this consultation were encouraged to provide the relevant data to support their arguments or proposals.Given the time period established for providing this advice, ESMA was compelled to require responses to the consultation within a short timeframe. In total, ESMA received 8 responses to the consultation. Non-confidential responses can be found on ESMA’s website. ESMA would like to thank respondents for providing input given the short period ESMA was able to consult for. This document sets out a summary of the responses received by ESMA regarding the fee structure for registration, supervision and recognition of TRs in the EU and includes ESMA’s final technical advice to the Commission on the future Regulation on fees for TRs which will be adopted by the Commission in the form of a delegated act. It is worth noting that all major ESMA proposals were supported by respondents and where comments were received ESMA has considered how best to adjust the original proposals. Next steps ESMA will follow-up on this work with the Commission as they work on the adoption of the Commission delegated regulation on fees for TRs. |
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| 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 | Post Trading | Reference | PDF 626.54 KB |
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| 05/07/2013 | 2013/ITMG/14 | Terms of Reference IT Management and Governance Group | ITMG | Reference | PDF 46.39 KB |
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| 03/09/2013 | 2013/1157 | Technical advice on third country regulatory equivalence under EMIR – US | Post Trading | Technical Advice | PDF 5.06 MB |
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| 03/09/2013 | 2013/1158 | Technical advice on third country regulatory equivalence under EMIR – Japan | Post Trading | Technical Advice | PDF 3.76 MB |
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| 03/09/2013 | 2013/1159 | Technical advice on third country regulatory equivalence under EMIR – Australia | Post Trading | Technical Advice | PDF 3.82 MB |
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| 03/09/2013 | 2013/1161 | Technical advice on third country regulatory equivalence under EMIR – Singapore | Post Trading | Technical Advice | PDF 3.55 MB |
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| 03/09/2013 | 2013/1162 | Technical advice on third country regulatory equivalence under EMIR – Switzerland | Post Trading | Technical Advice | PDF 3.65 MB |
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| 03/09/2013 | 2013/1160 | Technical advice on third country regulatory equivalence under EMIR – Hong Kong | Post Trading | Technical Advice | PDF 3.57 MB |
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| 02/10/2013 | 2013/1372 | ESMA Technical advice on equivalence of Singapore for TRs (Supplement) | Post Trading | Technical Advice | PDF 500.37 KB |
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| 02/10/2013 | 2013/1369 | ESMA Technical advice on equivalence of Hong Kong for OTC and TR (Supplement) | Post Trading | Technical Advice | PDF 124.15 KB |
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| 02/10/2013 | 2013/1371 | ESMA Technical advice on equivalence of South Korea for CCPs | Post Trading | Technical Advice | PDF 1.83 MB |
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| 16/10/2013 | 2013/LCC/039 | ESMA Specific Privacy Notice – Public procurement | Corporate Information, Procurement | Reference | PDF 119.46 KB |
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| 07/11/2013 | MARKT/G2/PSDM/bh (2013) 3663122 | EC letter to ESMA on reporting of ETDs | Post Trading | Reference | PDF 430.71 KB |
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| 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) | Corporate Disclosure, Corporate Governance | 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. | |||
| 24/01/2014 | 2013/1965 | Technical Advice to the Commission on procedural rules to impose fines and periodic penalty payments to Trade Repositories | Post Trading | Technical Advice | PDF 385.87 KB |
Reasons for publication On 29 of April 2013 ESMA received a formal request from the European Commission (the Commission) to provide technical advice to assist the Commission in formulating procedural rules to impose fines and periodic penalty payments to trade repositories (TRs) by delegated act. In order to deliver its advice to the Commission, ESMA consulted market participants regarding the procedural rules to impose fines and periodic penalty payments to TRs. Respondents to the consultation were encouraged to provide the relevant information in support of their arguments or proposals. ESMA published the consultation on 18 October 2013. The market participants could provide their comments until 15 November 2013. In total ESMA received two responses to the consultation. The respondents have required confidential treatment for their input. ESMA would like to thank respondents for providing input. Contents This document sets out a summary of the responses received by ESMA regarding the procedural rules to impose fines and periodic penalty payments to TRs and includes ESMA’s final technical advice to the Commission on the future Regulation on the procedural rules to impose fines and periodic penalty payments to TRs which will be adopted by the Commission in the form of a delegated act. It is worth noting that all major ESMA proposals were supported by respondents and where comments were received ESMA has considered them carefully. Next steps ESMA will follow-up on this work with the Commission towards the adoption of the Commission delegated regulation on procedural rules to impose fines and periodic penalty payments to TRs. |