ESMA LIBRARY
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| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 11/05/2005 | 04-505b | Market Abuse Directive- Level 3 – first set of CESR guidance and information on the common operation of the Directive | Guidelines and Technical standards, Market Abuse | Guidelines & Recommendations | PDF 119.41 KB |
http://www.cesr-eu.org/data/document/04_505b.pdf | |||
| 15/05/2009 | 09-219 | Guidelines- MAD Level 3 – Third set of CESR guidance and information on the common operation of the Directive to the market | Guidelines and Technical standards, Market Abuse | Guidelines & Recommendations | PDF 281.09 KB |
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| 23/03/2011 | 2011/81 | Recommendations- ESMA update of the CESR recommendations on the consistent implementation of Commission Regulation (EC) No 809/2004 implementing the Prospectus Directive | Guidelines and Technical standards, Prospectus, Corporate Disclosure | Guidelines & Recommendations | PDF 593.19 KB |
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| 18/05/2011 | 2011/139 | Final report- Guidelines on the application of the endorsement regime under Article 4 (3) of the Credit Rating Agencies Regulation No 1060/2009 | Credit Rating Agencies, Guidelines and Technical standards | Guidelines & Recommendations | PDF 653.98 KB |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 22/12/2011 | 2011/456 | Final report- Guidelines on systems and controls in an automated trading environment for trading platforms, investment firms and competent authorities | MiFID - Secondary Markets | Guidelines & Recommendations | PDF 407 KB |
This is the final report. The guidelines along with the translations are published separately. |
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| 12/01/2012 | ESMA42-110-1132 | Confirmation of compliance with guidelines | Guidelines and Technical standards | Guidelines & Recommendations | PDF 196.55 KB |
This document is a template destined to be used by national competent authorities to report their compliance with ESMA guidelines. |
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| 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. | |||
| 24/02/2012 | 2012/122 | Guidelines- Systems and controls in an automated trading environment for trading platforms, investment firms and competent authorities | Guidelines and Technical standards, MiFID - Secondary Markets | Guidelines & Recommendations | PDF 1006.44 KB |
ESMA Board of Supervisors (the BoS) has decided on the 26 September 2018 to withdraw the guidelines on “Systems and controls in an automated trading environment for trading platforms, investment firms and competent authorities”. The guidelines were issued by ESMA, in February 2012, to ensure a common, uniform and consistent application of MiFID and MAD. The BoS decision to withdraw the guidelines is based on the subject matter being fully incorporated into MiFID II, MAR, and relevant delegated acts. |
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| 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 |
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| 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 |
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| 28/03/2012 | 2012/197 | Guidelines on risk measurement and the calculation of global exposure for certain types of structured UCITS | Fund Management, Guidelines and Technical standards | Guidelines & Recommendations | PDF 269.27 KB |
To access the translations, please use the links on the left. | |||
| 28/03/2012 | 2012/197 bg | Насоки относно измерване на риска и изчисляването на глобалния риск за някои видове структурирани ПКИПЦК | Fund Management, Guidelines and Technical standards | Guidelines & Recommendations | PDF 281.24 KB |
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| 28/03/2012 | 2012/197 cz | Pokyny k měření rizik a výpočtu otevřené pozice pro určité typy strukturovaných SKIPCP | Fund Management, Guidelines and Technical standards | Guidelines & Recommendations | PDF 269.01 KB |
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| 28/03/2012 | 2012/197 dk | Retningslinjer om risikoberegning og beregning af samlet eksponering for visse typer af strukturerede investeringsinstitutter UCITS | Fund Management, Guidelines and Technical standards | Guidelines & Recommendations | PDF 275.1 KB |
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| 28/03/2012 | 2012/197 de | Leitlinien zur Risikomessung und zur Berechnung des Gesamtrisikos für bestimmte Arten strukturierter OGAW | Fund Management, Guidelines and Technical standards | Guidelines & Recommendations | PDF 271.45 KB |
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| 28/03/2012 | 2012/197 ee | Teatud liiki struktureeritud eurofondide riskide mõõtmise ja üldriski arvutamise suunised | Fund Management, Guidelines and Technical standards | Guidelines & Recommendations | PDF 256.21 KB |