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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
14/09/2011 2011/288 Call for evidence- Empty voting Corporate Disclosure, Corporate Governance, Transparency Consultation Paper PDF
81.13 KB
22/03/2012 2012/212 Discussion Paper- An Overview of the Proxy Advisory Industry. Considerations on Possible Policy Options Corporate Disclosure, Corporate Governance Consultation Paper PDF
524.85 KB		 This Discussion Paper focuses on the development of the proxy advisory industry in Europe, which mainly serves institutional investors such as asset managers, mutual funds and pension funds. Following its fact-finding work in 2011, ESMA recognises the proxy advisory industry within Europe is, or is expected to be, growing in prominence and investors are, or are expected to be, increasingly using proxy advisor services. In this paper ESMA identifies several key issues related to the proxy advisory market which may have an impact on the proper functioning of the voting process. The range of policy options that ESMA will consider, and on which it seeks further input from market participants, consists of four broad areas, including: 1.    No EU-level action at this stage 2.    Encouraging Member States and/or industry to develop standards 3.    Quasi-binding EU-level regulatory instruments 4.    Binding EU-level legislative instruments ESMA will consider these options based on the feedback it receives from market participants, and, if appropriate, will undertake further policy action, either directly or by providing an opinion to the European Commission. The reason to bring up some policy options is due to the fact that proxy advisors are currently not regulated at a pan-European level. Nevertheless, there are relevant European rules that apply to investors (e.g. for UCITS management companies when exercising voting rights). In addition, there are also well-recognised corporate governance standards that apply to issuers at a national level (based on the “comply or explain approach”) and some complements to improve standards of stewardship among investors. All feedback received from this Discussion Paper will be duly considered. ESMA expects to publish a feedback statement in Q4 of 2012 which will summarise the responses received and will state ESMA’s view on whether there is a need for policy action in this area.
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
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.
08/06/2015 2015/920 Impact of the Best Practice Principles for Providers of Shareholder Voting Research and Analysis Corporate Disclosure, Corporate Governance Consultation Paper PDF
337.08 KB		 Responding to this Call for Evidence ESMA invites comments on all matters in this paper and in particular on the specific questions presented throughout the paper. Comments are most helpful, if they:a.    respond to the question stated;b.    indicate the specific question to which they relate; andc.    contain a clear rationale.  ESMA will consider all comments received by 27 July 2015. All contributions should be submitted online at www.esma.europa.eu under the heading ‘Your input - Consultations’. Publication of responses All contributions received will be published following the close of the Call for Evidence, unless you request otherwise.  Please clearly and prominently indicate in your submission any part you do not wish to be publically disclosed. A standard confidentiality statement in an email message will not be treated as a request for non-disclosure. A confidential response may be requested from us in accordance with ESMA’s rules on access to documents. We may consult you, if we receive such a request. Any decision we make not to disclose the response is reviewable by ESMA’s Board of Appeal and the European Ombudsman.Data protection Information on data protection can be found at www.esma.europa.eu under the heading Legal Notice.Who should read this Call for Evidence This Call for Evidence will be of relevance to persons and entities participating in the voting chain, particularly proxy advisors, investors, companies listed in Europe, proxy solicitors and consultants.
25/09/2015 2015/1463 ESMA Consultation Paper on ESEF Corporate Disclosure, European Single Electronic Format, Transparency Consultation Paper PDF
2.34 MB
25/09/2015 2015/1463 reply form ESEF CBA Form to reply ESEF CBA Corporate Disclosure, European Single Electronic Format, Transparency Reference DOCX
872.33 KB
17/12/2015 2015/1885 ESMA Briefing Note on ESEF CP European Single Electronic Format, Transparency Reference PDF
138.49 KB
11/05/2017 ESMA32-60-172 Invitation to the ESMA European Single Electronic Format Meet-the-Market Workshop Corporate Disclosure, European Single Electronic Format, Transparency Reference PDF
270.83 KB
28/06/2017 ESMA32-60-196 Call for volunteers- Field test European Single Electronic format (ESEF) Corporate Disclosure, European Single Electronic Format Reference PDF
251.41 KB
19/10/2017 ESMA50-165-421 EU derivatives markets ─ a first-time overview MiFID - Secondary Markets, Post Trading, Risk Analysis & Economics - Markets Infrastructure Investors, Trade Repositories Reference PDF
477.35 KB
18/12/2017 ESMA 71-99-671 Briefing note- Preparing for 2020: ESEF field tests and reporting manual European Single Electronic Format Reference PDF
339.06 KB
11/01/2018 ESMA71-99-923 Factsheet on Trade Repositories Fees Trade Repositories Reference PDF
129.16 KB
19/11/2018 ESMA32-60-403 Video Tutorial on the European Single Electronic Format- Script European Single Electronic Format Reference PDF
166.3 KB
21/03/2019 ESMA32-60-439 ESEF Taxonomy architecture European Single Electronic Format Reference PDF
180.54 KB
21/03/2019 ESMA32-60-44 ESEF Validation rules European Single Electronic Format Reference XLSX
179.34 KB
21/03/2019 ESMA32-60-417 ESEF XBRL Taxonomy Documentation European Single Electronic Format Reference PDF
295.92 KB
21/03/2019 ESMA32-60-440 ESMA ESEF Taxonomy 2017 European Single Electronic Format Reference ZIP
10.62 MB

ESEF Taxonomy 2017- entry points
11/04/2019 ESMA80-196-2575 Guidance on EMIR and SFT TR registration Trade Repositories Reference PDF
143.78 KB
12/07/2019 ESMA32-60-254 ESEF Reporting Manual European Single Electronic Format Reference PDF
528.51 KB

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