ESMA LIBRARY
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Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 14/01/2011 | 2011/5 | Call for evidence- criteria for endorsement (Article 21 (2)(a) of the draft amended CRA Regulation) | Credit Rating Agencies | Consultation Paper | PDF 218.02 KB |
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| 18/03/2011 | 2011/97 | Consultation paper- ESMA Guidelines on the application of the endorsement regime under Article 4 (3) of the Credit Rating Regulation1060/2009 | Credit Rating Agencies | Consultation Paper | PDF 273.66 KB |
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| 14/04/2011 | 2011/114 | Consultation paper- ESMA´s Technical Advice to the Commission on Fees for CRA Supervision | Credit Rating Agencies | Consultation Paper | PDF 95.52 KB |
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| 26/05/2011 | 2011/155 | Call for evidence- assessment of compliance of credit rating agencies with Article 8.3 of the Credit Rating Agencies Regulation (1060/2009/EC) | Credit Rating Agencies | Consultation Paper | PDF 69.4 KB |
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| 26/05/2011 | 2011/156 | Call for evidence- ratings data periodic reporting requirements for CRAs according to Article 21 (3)(e) of the Draft Amended CRA Regulation | Credit Rating Agencies | Consultation Paper | PDF 88.95 KB |
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| 19/09/2011 | 2011/302 | Consultation paper- Regulatory technical standards on the information to be provided to ESMA by a credit rating agency in its application for registration and certification and for the assessment of its systemic importance | Credit Rating Agencies | Consultation Paper | PDF 276.02 KB |
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| 19/09/2011 | 2011/303 | Consultation paper- Regulatory technical standards on the assessment of compliance of credit rating method-ologies with the requirements set out in Article 8(3) of Regulation (EC) No 1060/2009 | Credit Rating Agencies | Consultation Paper | PDF 374.84 KB |
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| 19/09/2011 | 2011/304 | Consultation paper- ESMA’s draft 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 1060/2 | Credit Rating Agencies | Consultation Paper | PDF 182.29 KB |
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| 19/09/2011 | 2011/305 | Consultation paper- ESMA’s Draft Regulatory Technical Standards on the content and format of ratings data periodic reporting to be submitted from credit rating agencies | Credit Rating Agencies | Consultation Paper | PDF 264 KB |
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| 22/12/2011 | 2011/445 | Consultation paper on guidelines on certain aspects of the MiFID suitability requirements | MiFID - Investor Protection | Consultation Paper | PDF 355.06 KB |
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| 22/12/2011 | 2011/446 | Consultation paper on guidelines on certain aspects of the MiFID compliance function requirements | MiFID - Investor Protection | Consultation Paper | PDF 393.94 KB |
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| 16/02/2012 | 2012/95 | Draft Technical Standards for the Regulation on OTC Derivatives, CCPs and Trade Repositories | Post Trading | Consultation Paper | PDF 776.04 KB |
The Regulation of the European Parliament and Council on OTC Derivatives, CCPs and trade repositories (EMIR) introduces provisions to improve transparency and reduce the risks associated with the OTC derivatives market and establishes common rules for central counterparties (CCPs) and for trade repositories (TRs). It has been identified that common rules are required in the case of CCPs in view of the shift of risk management from a bilateral to a central process for OTC derivatives and in the case of trade repositories because of the increase in information that needs to be reported to them. The Regulation delegates or confers powers to the Commission to adopt regulatory technical standards (RTS) and implementing technical standards (ITS) on a number of areas. This discussion paper covers the draft RTS and ITS which ESMA is required to develop. Following this discussion paper and on the basis of the relevant input received, ESMA will prepare draft technical standards to be included in the consultation paper which will most likely be published around summer 2012. | |||
| 07/05/2012 | 2012/278 | Call for evidence on Transaction reporting | Market Integrity | Consultation Paper | PDF 286 KB |
This call for evidence seeks to collect interested parties’ views on what elements ESMA should consider in its work on guidelines on harmonised transaction reporting, as well as opinions on what areas of the OTC derivatives guidelines need to be updated. On the basis of responses received to this call for evidence, ESMA will define its further work on guidelines on harmonised transaction reporting and launch a full public consultation. | |||
| 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 |
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| 25/06/2012 | 2012/379 | Draft Technical Standards for the Regulation on OTC Derivatives, CCPs and Trade Repositories | Post Trading | Consultation Paper | PDF 2.12 MB |
This consultation paper includes the Regulatory and Implementing Technical Standards ESMA is required to draft under the Regulation of the European Parliament and Council on OTC derivatives, central counterparties and trade repositories (EMIR). It covers implementing measures for the application of the clearing obligation for risk mitigation techniques, exemptions for non-financial counterparties and intra-group transactions, requirements for CCPs and reporting and disclosure obligations for trade repositories. |
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| 17/09/2012 | 2012/570 | Guidelines on remuneration policies and practices (MiFID) | MiFID - Investor Protection | Consultation Paper | PDF 508.33 KB |
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| 20/12/2012 | 2012/852 | Guidelines for establishing consistent, efficient and effective assessments of interoperability arrangements | Post Trading | Consultation Paper | PDF 445.22 KB |
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| 20/12/2012 | 2012/841 | Guidelines and recommendations on the scope of the CRA Regulation | Credit Rating Agencies | Consultation Paper | PDF 255.36 KB |
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| 20/02/2013 | 2013/219 | ESMA’s Technical Advice to the Commission on Fees for Trade Repositories | Post Trading | Consultation Paper | PDF 586.97 KB |
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| 09/07/2013 | 2013/918 | Draft Regulatory Technical Standards on information requirements for assessment of acquisitions and increases in holdings in investment firms (MiFID) | MiFID - Investor Protection | Consultation Paper | PDF 506.86 KB |
Executive summary Reasons for publication Article 10b(4) of the Markets in Financial Instruments Directive (MiFID ) requires Member States to make publicly available the information necessary to carry out the assessment of a proposed acquirer of an investment firm. This information must be provided at the time of the initial notification. This information is aimed at ensuring that competent authorities are provided with adequate and proportionate information in order to assess the acquisition. Article 10a of MiFID, as amended by Article 6(4) of the Omnibus Directive , requires ESMA to draft regulatory technical standards (RTS) to establish an exhaustive list of information referred to in Article 10b(4) of MiFID. ESMA is required to submit the draft RTS to the European Commission (Commission) by 1 January 2014. Contents The proposed RTS set out in this Consultation Paper (CP) are based on the CEBS, CESR and CEIOPS ‘Guidelines for the prudential assessment of acquisitions and increases in holdings in the financial sector required by Directive 2007/44/EC’ (3L3 Guidelines), as well as the report issued by the Commission (in February 2013) to the European Parliament, the Council, the European Economic and Social Committee, and the Committee of Regions on the application of Directive on acquisitions and increase of holdings in the financial sector. Section II explains the background to the proposals; Section III describes the proposals on the exhaustive list of information to be included by proposed acquirers in their notification. Annex I sets out the legislative mandate to develop draft RTS; Annex II sets out the cost-benefit analysis related to the draft RTS; Annex III lists the questions contained in this CP; and Annex IV sets out the full text of the draft RTS. Next steps ESMA will consider the responses it receives to this CP in Q4, and will finalise the draft RTS for submission to the Commission by 1 January 2014 for endorsement. |