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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
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.
19/07/2012 2011/454 MOU on the supervision of CRAs- ESMA and ASIC , 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 , Reference PDF
574.14 KB
19/07/2012 MOU SFC ESMA MOU on the supervision of CRAs- ESMA and SFC Hong Kong , Reference PDF
497.63 KB
19/07/2012 MOU SEC ESMA MOU on the supervision of CRAs- ESMA and SEC , Reference PDF
306.87 KB
19/07/2012 MOU CNV ESMA MOU on the supervision of CRAs- ESMA and CNV Argentina , Reference PDF
169.13 KB
19/07/2012 MOU Canada ESMA MOU on the supervision of CRAs- ESMA and Canadian authorities , Reference PDF
139.68 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.
16/11/2012 2012/752 Call for expressions of interest: Consultative Working Group for ESMA’s Financial Innovation Standing Committee Reference PDF
141.98 KB
To apply, please use the below Application form
23/01/2013 2013/87 2013 CRA supervision and policy work plan Reference PDF
114.95 KB
18/02/2013 MOU ESMA/DFSA MOU on the supervision of CRAs- ESMA and Dubai FSA , Reference PDF
181.09 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
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.
16/12/2013 2013/1933 CRAs’ Market share calculation according to Article 8d of the CRA Regulation Reference PDF
181.17 KB
05/06/2014 2014/608 MMoU on Cooperation Arrangements and Exchange of Information , Reference PDF
205.85 KB

The European Securities and Markets Authority (ESMA) has published the text of a new multilateral memorandum of understanding (MMoU) between EEA national competent authorities, and between national competent authorities and ESMA which entered into force on 29 May 2014. It has been signed by 33 authorities in the securities and markets area. The new MMoU was agreed in view of the increasing internationalisation, harmonisation and interdependence of financial services and markets in the European Union. It is designed to facilitate cooperation arrangements and the exchange of information between national competent authorities, and between national competent authorities and ESMA, in the application of their responsibilities under Union law relating to the securities and markets area. It also updates and replaces a previous agreement on the Exchange of Information and Surveillance of Securities Activities agreed by the members of the Committee of European Securities Regulators (formerly the Forum of European Securities Commissions) entered into by those members on 26 January 1999. List of Signatories to MMoU on Cooperation Arrangements and Exchange of Information

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 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.
06/11/2014 2014/1334 MiFID database- Contact emails of national competent authorities for market participants [updated] 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.

18/11/2014 2014/1371 Call for expressions of interest: Consultative Working Group for ESMA’s Financial Innovation Standing Committee Reference PDF
210.41 KB
ESMA today launches a process to renew the composition of the Consultative Working Group (‘CWG’) for the Financial Innovation Standing Committee (’FISC’). ESMA is therefore calling for expressions of interest from stakeholders. Application procedure, closing date Relevant stakeholders meeting the required selection criteria and wishing to apply for a position on the CWG are invited to submit, in English: a completed application form (see separate document), and a detailed curriculum vitae (CV), preferably in the EU CV format - the link to the template for this is: http://europass.cedefop.europa.eu/europass/home/hornav/Downloads/Europas... It is optional for applicants to attach a motivation letter (2 pages maximum). Unclear or incomplete applications will not be considered. Applications must be submitted by email using the application form by no later than 31 December 2014 to the following email addresses: patrick.armstrong@esma.europa.eu and anne.chone@esma.europa.eu.
04/12/2014 ESMA/ASIC1 ESMA-ASIC MOU on access to trade repositry data Reference PDF
384.61 KB
22/12/2014 2014/1583 Credit Rating Agencies’ 2014 market share calculations for the purposes of Article 8d of the CRA Regulation 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.

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