ESMA LIBRARY
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Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 21/03/2014 | 2014/302 | ESMA consults on major shareholders disclosures | Corporate Disclosure, Transparency | Press Release | PDF 93.61 KB |
ESMA consults on major shareholders disclosures The European Securities and Markets Authority (ESMA) has launched a consultation on draft Regulatory Technical Standards (RTS) under the revised Transparency Directive relating to the notification of major shareholdings and the indicative list of financial instruments subject to notification requirements. The consultation runs until 30 May 2014. The revised Directive harmonises transparency requirements relating to information about issuers whose securities are admitted to trading on an EU regulated market. This harmonisation aims to enhance transparency in respect of the ownership structure of an issuer, to improve legal certainty and reduce the administrative burden for cross-border investors. The revised Transparency Directive also addresses the issue of the disclosure regime for new types of financial instruments that expose investors to an economic risk similar to when holding shares. The draft RTS support these objectives by facilitating the creation of a harmonised regime regarding the aggregation of holdings of shares and financial instruments, the calculation of notification thresholds and the exemptions from notification requirements. Steven Maijoor, ESMA Chair, said: “Transparency is essential for ensuring that markets function properly and investors are afforded adequate protection when making investment decisions. “Today’s proposals support the aims of the Transparency Directive to improve the effectiveness of the transparency regime on corporate ownership. Clarity on this issue will ensure that shareholders and potential investors are in possession of the information needed to make informed investment decisions.” Draft Regulatory Technical Standards The draft RTS on the major shareholding notifications addresses the following issues: • Method of calculation of 5% threshold exemption regarding trading books and market makers; • Calculation method regarding a basket of shares or an index; • Methods for determining the ‘delta’ for calculating voting rights; and • Exemptions regarding notification of financial instruments. The Consultation Paper also sets out the proposed content of an indicative list of financial instruments which should be subject to the notification requirements laid down in the Directive, and outlines the processes for updating that list. The input from stakeholders will help ESMA in drafting the final report and determining the content of the draft RTS. Comments to this consultation can be submitted via ESMA’s website and the deadline for submission is 30 May 2014. | |||
| 30/09/2016 | 2016/1411 | ESMA consults on future reporting rules for securities financing transactions | Post Trading, Press Releases, Securities Financing Transactions | Press Release | PDF 148.11 KB |
The European Securities and Markets Authority (ESMA) has issued today a consultation paper on draft technical standards implementing the Securities Financing Transaction Regulation (SFTR), which aims to increase the transparency of shadow banking activities. Securities financing transactions (SFTs) are transactions where securities are used to borrow cash (or other higher investment-grade securities), or vice versa – this includes repurchase transactions, securities lending and sell/buy-back transactions. |
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| 10/11/2016 | 2016-1564 | ESMA prepares for new International Financial Reporting Standard 9 | Audit, Corporate Disclosure, IFRS Supervisory Convergence, Press Releases | Press Release | PDF 132.26 KB |
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| 21/12/2016 | 2016/1682 | 2016-1682 Press Release on Feedback Statement on ESEF | Corporate Disclosure, European Single Electronic Format, Press Releases, Transparency | Press Release | PDF 225.03 KB |
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| 31/05/2017 | ESMA71-99-469 | ESMA issues principles on supervisory approach to relocations from the UK | Brexit, Press Releases, Supervisory convergence | Press Release | PDF 143.31 KB |
The European Securities and Markets Authority (ESMA) has published an Opinion setting out general principles aimed at fostering consistency in authorisation, supervision and enforcement related to the relocation of entities, activities and functions from the United Kingdom. The opinion is addressed to national competent authorities (NCAs), in particular of the 27 Member States that will remain in the EU (EU27). The opinion is a practical tool to support supervisory convergence in the context of increased requests from UK financial market participants seeking to relocate to the EU27. It covers all legislation referred to in the ESMA Regulation, in particular the AIFMD, the UCITS Directive, MiFID I and MiFID II. |
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| 13/07/2017 | ESMA71-99-526 | ESMA issues sector-specific principles on relocations from the UK to the EU27 | Brexit, Press Releases, Supervisory convergence | Press Release | PDF 157.73 KB |
The European Securities and Markets Authority (ESMA) has published three Opinions setting out sector-specific principles in the areas of investment firms, investment management and secondary markets, aimed at fostering consistency in authorisation, supervision and enforcement related to the relocation of entities, activities and functions from the United Kingdom . The opinions, building on the general opinion issued in May, are practical tools to support supervisory convergence in the context of requests from UK financial market participants seeking to relocate to the EU27. They are addressed to national competent authorities (NCAs) and are relevant for market participants considering relocating. They provide guidance to NCAs aimed at ensuring a consistent interpretation of the requirements relating to authorisation, supervision and enforcement in order to avoid the development of regulatory and supervisory arbitrage risks. |
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| 27/10/2017 | ESMA71-99-623 | Press Release on 2017 Enforcement Priorities | Audit, Corporate Disclosure, IFRS Supervisory Convergence, Press Releases | Press Release | PDF 172.2 KB |
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| 08/11/2018 | ESMA71-99-1055 | ESMA proposes a regulatory change to support the Brexit preparations of counterparties to uncleared OTC derivatives | Brexit, Post Trading, Press Releases | Press Release | PDF 149.65 KB |
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| 01/02/2019 | ESMA71-99-1096 | ESMA and EU securities regulators MoUs with FCA | Board of Supervisors, Brexit, Credit Rating Agencies, Fund Management, Press Releases, Trade Repositories | Press Release | PDF 80.5 KB |
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| 04/02/2019 | ESMA71-99-1107 | ESMA agrees no-deal Brexit MOUs with the Bank of England for recognition of UK CCPs and the UK CSD | Brexit, Post Trading, Press Releases | Press Release | PDF 131.3 KB |
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| 18/02/2019 | ESMA71-99-1114 | ESMA to recognise three UK CCPs in the event of a no-deal Brexit | Brexit, Post Trading, Press Releases | Press Release | PDF 128.51 KB |
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| 01/03/2019 | ESMA71-99-1119 | ESMA to recognise the UK Central Securities Depository- no deal | Brexit, Post Trading, Press Releases | Press Release | PDF 79.27 KB |
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| 05/04/2019 | ESMA71-99-1142 | ESMA updates its recognition of UK CCPs and CSD | Brexit, Post Trading, Press Releases | Press Release | PDF 82.48 KB |
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| 03/05/2019 | ESMA35-43-1737 | Final report on integrating sustainability risks and factors in the MIFID II | Audit, MiFID - Investor Protection, Sustainable finance | Final Report | PDF 371.73 KB |
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| 29/05/2019 | ESMA71-99-1168 | ESMA adjusts application of the trading obligation for shares in a no-deal Brexit | Brexit, MiFID - Secondary Markets, Press Releases | Press Release | PDF 87.46 KB |
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| 29/05/2019 | ESMA71-99-1168 | ESMA adjusts application of the trading obligation for shares in a no-deal Brexit | Brexit, MiFID - Secondary Markets, Press Releases | Press Release | PDF 87.46 KB |
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| 06/01/2020 | ESMA70-151-2703 | Final Report- Guidelines on Reporting Under SFTR | Securities Financing Transactions | Final Report | PDF 1.38 MB |
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| 06/01/2020 | ESMA70-151-2838 | Guidelines on Reporting Under SFTR | Securities Financing Transactions | Final Report | PDF 2.49 MB |
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| 04/02/2020 | ESMA32-67-613 | Report on amendments to ESMA Guidelines on enforcement of financial information | Transparency | Final Report | PDF 272.06 KB |
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| 09/03/2020 | ESMA80-199-332 | ESMA Supervision- Annual Report 2019 and Work Programme 2020 | Benchmarks, Credit Rating Agencies, Securities Financing Transactions, Securitisation, Trade Repositories | Annual Report | PDF 825.72 KB |