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ESMA LIBRARY

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Date	Ref.	Title	Section	Type	Download	Info	Summary	Related Documents	Translated versions
03/06/2005	05-365	MAD AMPs- Frequently Asked Questions	CESR Archive	Q&A	PDF 55.99 KB
29/05/2007	07-320	Q&A on Best Execution	CESR Archive	Q&A	PDF 578.51 KB
03/11/2009	09-559	Questions and Answers- MiFID complex and non complex financial instruments for the purposes of the Directive’s appropriateness requirements	CESR Archive	Q&A	PDF 405.18 KB
08/03/2010	10-222	FAQ regarding the EU Regulation Credit Rating Agencies: Common positions agreed by CESR Members	CESR Archive	Q&A	PDF 327.78 KB
19/04/2010	10-293	Question and Answers- Understanding the definition of advice under MiFID	CESR Archive	Q&A	PDF 335.78 KB
06/05/2010	10-591	Questions and answers on MiFID: Common positions agreed by CESR Members in the area of the Secondary Markets Standing Committee	CESR Archive	Q&A	PDF 130.84 KB
04/06/2010	10-521	FAQ regarding the EU regulation on Credit Rating Agencies: Common positions agreed by CESR Members	CESR Archive	Q&A	PDF 206.24 KB
22/12/2011	2011/461	Final report- Regulatory Technical Standards on the presentation of the information that credit rating agencies shall disclose in accordance with Article 11(2) and point 1 of Part II of Section E of Annex I to Regulation (EC) No 1060/2009	Credit Rating Agencies	Technical Standards	PDF 555.25 KB
22/12/2011	2011/462	Final Report- Draft RTS on the assessment of compliance of credit rating methodologies with CRA Regulation	Credit Rating Agencies	Technical Standards	PDF 445.83 KB
22/12/2011	2011/463	Final report- Regulatory technical standards on the information for registration and certification of credit rating agencies	Credit Rating Agencies	Technical Standards	PDF 444.79 KB
22/12/2011	2011/464	Final report- Draft RTS on the content and format of ratings data periodic reporting to be requested from credit ratings agencies for the purpose of on-going supervision by ESMA	Credit Rating Agencies	Technical Standards	PDF 485.78 KB
21/02/2012	2012/113	Questions and Answers- A Common Definition of European Money Market Funds- updated February 2012	Fund Management	Q&A	PDF 83.79 KB		The purpose of this document is to promote common supervisory approaches and practices in the application of the guidelines on a Common Definition of European Money Market Funds developed by CESR by providing responses to questions posed by the general public and competent authorities. The content of this document is aimed at competent authorities to ensure that in their supervisory activities their actions are converging along the lines of the responses adopted by ESMA. However, the answers are also intended to help management companies by providing clarity as to the content of CESR’s guidelines on a Common Definition of European Money Market Funds, rather than creating an extra layer of requirements.
30/03/2012	2012/228	Draft technical standards on the Regulation (EU) No 236/2012 of the European Parliament and of the Council on short selling and certain aspects of credit default swaps	Short Selling	Technical Standards	PDF 1.02 MB		Regulation (EU) No 236/2012 of the European Parliament and of the Council of 14 March on short selling and certain aspects of credit default swaps (the Regulation) requires ESMA to develop draft regulatory (RTS) and implementing technical standards (ITS) in relation to several provisions contained in Articles 9, 11, 12 and 16 of the Regulation. The draft RTS and ITS will be submitted to the European Commission by 31 March 2012. The Commission has three months to decide whether to endorse ESMAs draft technical standards. A further regulatory technical standard, on the method of calculation of the fall in value of a financial instrument required under Article 24(8) of the Regulation will be submitted together with the technical advice in the course of April 2012.
22/06/2012	2012/382	MiFID Q&A in the area of investor protection and intermediaries	MiFID - Investor Protection	Q&A	PDF 319.78 KB
27/09/2012	2012/600	Draft technical standards under the Regulation (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC Derivatives, CCPs and Trade Repositories	Post Trading	Technical Standards	PDF 1.88 MB
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
02/04/2013	2013/413	Final Report- Draft regulatory technical standards on types of AIFMs	Fund Management	Technical Standards	PDF 116.08 KB		The European Securities and Markets Authority (ESMA) has published its draft regulatory technical standards (RTS) to determine types of alternative investment fund managers (AIFMs), where relevant in the application of the AIFMD. The draft RTS distinguish AIFMs managing alternative investment funds (AIF) of the open-ended type and AIFMs managing AIFs of the closed-ended type, in order to apply the rules on liquidity management, the valuation procedures and the transitional provisions of the AIFMD. ESMA was required to develop these RTS by Article 4(4) of the AIFMD and they are aimed at ensuring uniform conditions of application of the AIFMD across the European Union.
29/07/2013	JC 2013/01	Final Draft Regulatory Technical Standards	Joint Committee	Technical Standards	PDF 1.17 MB
08/08/2013	2013/1087	Final Report on amended EMIR implementing technical standards	Post Trading	Technical Standards	PDF 335.07 KB		The European Securities and Markets Authority (ESMA) has sent the European Commission a Final Report proposing an amendment to Article 5 of the Commission Implementing Regulation (EU) No.1247/2012 (ITS on reporting) on the format and frequency of reporting to trade repositories under EMIR. The amendment relates specifically to the reporting of exchange traded derivatives (ETDs) and proposes postponing the reporting start date by one year. Background Article 5 regards the reporting start date of derivatives to trade repositories, however the current dates do not include a specification of ETDs. This specification would be useful as there is a risk currently that reporting of ETDs is not harmonised unless further regulatory guidance is issued. Based on the need to ensure the consistent implementation of EMIR, ESMA considered that guidelines and recommendations should be developed in relation to this issue. A delay in the reporting date for ETD transactions will allow sufficient time for the development of the relevant guidelines and their implementation by counterparties, trade repositories and regulators. The European Commission has three months to decide whether to endorse ESMA’s draft implementing technical standards.
18/11/2013	2013/1657	Draft technical standards under EMIR on contracts with a direct, substantial and foreseeable effect within the Union and non-evasion	Post Trading	Technical Standards	PDF 394.75 KB		The European Securities and Markets Authority (ESMA) has issued final draft regulatory technical standards (RTS) related to derivative transactions by non-European Union (EU) counterparties. The RTS implement provisions of the Regulation on OTC derivatives, central counterparties and trade repositories (EMIR).