ESMA LIBRARY
The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
117
REFINE YOUR SEARCH
Sections
- (-) Remove Supervisory convergence filter Supervisory convergence
- (-) Remove Joint Committee filter Joint Committee
- (-) Remove Fund Management filter Fund Management
- (-) Remove MiFID - Secondary Markets filter MiFID - Secondary Markets
- (-) Remove Market Abuse filter Market Abuse
- (-) Remove Prospectus filter Prospectus
- (-) Remove Market Integrity filter Market Integrity
- CESR Archive (286) Apply CESR Archive filter
- Post Trading (50) Apply Post Trading filter
- Risk Analysis & Economics - Markets Infrastructure Investors (32) Apply Risk Analysis & Economics - Markets Infrastructure Investors filter
- Corporate Disclosure (26) Apply Corporate Disclosure filter
- Credit Rating Agencies (19) Apply Credit Rating Agencies filter
- MiFID - Investor Protection (17) Apply MiFID - Investor Protection filter
- IFRS Supervisory Convergence (14) Apply IFRS Supervisory Convergence filter
- Guidelines and Technical standards (9) Apply Guidelines and Technical standards filter
- Innovation and Products (5) Apply Innovation and Products filter
- Short Selling (5) Apply Short Selling filter
- Benchmarks (4) Apply Benchmarks filter
- Corporate Finance (4) Apply Corporate Finance filter
- Securitisation (4) Apply Securitisation filter
- Corporate Information (3) Apply Corporate Information filter
- European Single Electronic Format (3) Apply European Single Electronic Format filter
- Securities Financing Transactions (3) Apply Securities Financing Transactions filter
- Brexit (2) Apply Brexit filter
- CCP Directorate (2) Apply CCP Directorate filter
- Corporate Governance (2) Apply Corporate Governance filter
- Procurement (2) Apply Procurement filter
- Sustainable finance (2) Apply Sustainable finance filter
- Trade Repositories (2) Apply Trade Repositories filter
- Trading (2) Apply Trading filter
- Transparency (2) Apply Transparency filter
- Audit (1) Apply Audit filter
- Board of Supervisors (1) Apply Board of Supervisors filter
- COVID-19 (1) Apply COVID-19 filter
- IAS Regulation (1) Apply IAS Regulation filter
- Press Releases (1) Apply Press Releases filter
Type of document
- (-) Remove Final Report filter Final Report
- (-) Remove Q&A filter Q&A
- Reference (197) Apply Reference filter
- Guidelines & Recommendations (189) Apply Guidelines & Recommendations filter
- Press Release (122) Apply Press Release filter
- Opinion (121) Apply Opinion filter
- Consultation Paper (114) Apply Consultation Paper filter
- Letter (55) Apply Letter filter
- Statement (53) Apply Statement filter
- Report (51) Apply Report filter
- Speech (38) Apply Speech filter
- Compliance table (21) Apply Compliance table filter
- Decision (17) Apply Decision filter
- Technical Advice (15) Apply Technical Advice filter
- Technical Standards (15) Apply Technical Standards filter
- Annual Report (4) Apply Annual Report filter
- CESR Document (4) Apply CESR Document filter
- SMSG Advice (2) Apply SMSG Advice filter
- Vacancy (2) Apply Vacancy filter
- Investor Warning (1) Apply Investor Warning filter
Your filters
ONGOING Procedure X Q&A X Final Report X Market Abuse X Joint Committee X MiFID - Secondary Markets X Prospectus X Supervisory convergence X Fund Management X Market Integrity X
Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 25/09/2000 | 00-064c | The regulation of Alternative Trading Systems in Europe. A paper for the EU Commission | MiFID - Secondary Markets | Final Report | PDF 84.28 KB |
Alternative Trading Systems (ATS) offer electronic securities trading facilities outside the traditional trading channels. An expert group chaired by Howard Davies, Chairman of the UK FSA, has studied the impact of such systems in depth. The group has prepared a comprehensive report identifying and assessing the benefits and risks associated with the emergence of ATS and analysing the current regulatory treatment of such systems, within Europe and elsewhere. The report proposes both a short term and a long term option for a harmonised regulatory treatment of such systems in Europe.The paper was submitted to the European Commission as FESCO"s contribution to the preparation of the forthcoming Green Paper on possible amendments to the Investment Services Directive. The Green Paper will shortly be published as a basis for consultation with Member States, the financial services industry and other interested parties. However, the FESCO paper noted that, while the Green Paper on the ISD might be the catalyst for a far-reaching review of the regulatory approach to ATS, it would not provide a short-term solution. Accordingly, FESCO proposed that the short-term solution should take the form of a set of additional regulatory requirements for ATS operating as investment firms.FESCO will be working on proposals for what those additional regulatory requirements might be over the next six months, with a view to producing a consultation paper in the first half of 2001. This consultation paper will provide an opportunity for interested parties to comment in detail on the FESCO proposals. If, however, in the meantime interested parties have any specific comments on the possible additional regulatory requirements identified in paragraph 71 of the September paper, they should make these known to the Secretariat of FESCO via the following e-mail address: fdankers@europefesco.org | |||
| 11/05/2005 | 05-274 | Feedback Statement- Market Abuse Directive, Level 3 – first set of guidance and information on the common operation of the Directive | Market Abuse | Final Report | PDF 79.76 KB |
http://www.cesr-eu.org/data/document/05_274.pdf | |||
| 22/11/2007 | 07-693 | Report on Administrative Measures and Sanctions available in Member States under the Market Abuse Directive (MAD) | Market Abuse | Final Report | PDF 3.44 MB |
||||
| 28/02/2008 | 08-099 | CESR Executive summary to the report on administrative measures and sanctions as well as the criminal sanctions available in Member States under the Market Abuse Directive | Market Abuse | Final Report | PDF 874.1 KB |
||||
| 18/01/2011 | 2011/26 | Summary Report on the mapping of contingency measures | Supervisory convergence | Final Report | PDF 93.63 KB |
||||
| 28/03/2011 | 2011/22 | Report- ESMA Data on Prospectuses Approved and Passported- July 2010 to December 2010 | Prospectus, Corporate Disclosure | Final Report | PDF 134.79 KB |
||||
| 14/04/2011 | 2011/112 | Final report- Guidelines to competent authorities and UCITS management companies on risk meas-urement and the calculation of global exposure for certain types of structured UCITS | Fund Management | Final Report | PDF 166.5 KB |
||||
| 07/07/2011 | 2011/194 | Report- Mapping of the Transparency Directive | Supervisory convergence | Final Report | PDF 1.15 MB |
Report - Mapping of the Transparency Directive | |||
| 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. | |||
| 11/04/2012 | JC/2011/96 | EBA, ESMA and EIOPA’s Report on the legal, regulatory and supervisory implementation across EU Member States in relation to the Beneficial Owners Customer Due Diligence requirements under the Third Money Laundering Directive [2005/60/EC] | Joint Committee | Final Report | PDF 552.11 KB |
||||
| 11/04/2012 | JC/2011/97 | EBA, ESMA and EIOPA’s Report on the legal and regulatory provisions and supervisory expectations across EU Member States of Simplified Due Diligence requirements where the customers are credit and financial institutions under the Third Money Laundering Di | Joint Committee | Final Report | PDF 476.47 KB |
||||
| 26/04/2012 | 2012/270 | Actual use of sanctioning powers under MAD | Supervisory convergence | Final Report | PDF 1.55 MB |
The report provides a comparison of the use of administrative sanctioning powers across 29 EEA Member States for 2008-2010. The results of the report will provide input to the legislative process on the new market abuse regime. | |||
| 24/05/2012 | 2012/300 | Prospectus Directive – Good Practices in the approval process | Supervisory convergence | Final Report | PDF 467.38 KB |
The European Securities and Markets Authority (ESMA) has published today “Prospectus Directive – Good Practices in the approval process“, a peer review report on the application of regulatory good practices by national supervisory authorities - competent authorities (CA) when approving investment prospectuses.The review was conducted using good practice criteria that ESMA developed on selected areas of the Prospectus Directive dealing with the approval process for investment prospectuses. The prospectuses provide investors with easy to understand and relevant information on investment products. Peer review reports on national regulators’ procedures contribute to ESMA’s objective of fostering supervisory convergence and achieving a level playing field between jurisdictions. | |||
| 25/07/2012 | 2012/474 | Report and consultation paper on guidelines on ETFs and other UCITS issues | Fund Management | Final Report | PDF 728.1 KB |
This paper sets out ESMA’s guidelines on ETFs and other UCITS issues. The guidelines are adapted to the type of UCITS, management technique or financial instrument in question and are detailed in Annex III of the documentThis document also sets out in Annex IV a public consultation on the treatment of repo and reverse repo arrangements on which ESMA is seeking feedback from stakeholders. The feedback to this further consultation will be used by ESMA to finalise its position on this specific issue, which will be incorporated into the rest of the guidelines already adopted by the Authority (cf. Annex III of this document). | |||
| 25/09/2012 | 2012/602 | ESMA Data on Prospectuses Approved and Passported- January 2011 to December 2011 | Prospectus, Corporate Disclosure | Final Report | PDF 573.49 KB |
||||
| 25/09/2012 | 2012/603 | ESMA Data on Prospectuses Approved and Passported- January 2012 to June 2012 | Prospectus, Corporate Disclosure | Final Report | PDF 431.12 KB |
NOTE: This Report is an amended version of the Report published on 25 September 2012. The previously published Report was amended on 15 May 2013 following the discovery of factual errors in the statis-tical information in Section III.2. Title ESMA Data on Prospectuses Approved and Passported - January 2012 to June 2012 | |||
| 04/12/2012 | 2012/722 | Guidelines on repurchase and reverse repurchase agreements | Fund Management | Final Report | PDF 339.57 KB |
The European Securities and Markets Authority (ESMA) has today published its final guidelines on repurchase and reverse repurchase agreements for UCITS funds. The guidelines state that UCITS should only enter into such agreements if they are able to recall at any time any assets or the full amount of cash. |
|||
| 07/12/2012 | JC/2012/86 | ESA report on the application of AML/CTF obligations to, and the AML/CTF supervision of e-money issuers, agents and distributors in Europe. | Joint Committee | Final Report | PDF 476.42 KB |
||||
| 12/04/2013 | JC 2013-010 | Joint Committee report on risks and vulnerabilities in the EU financial system, March 2013 | Joint Committee | Final Report | PDF 694.8 KB |
The Joint Committee of the European Supervisory Authorities (Joint Committee) has published today its first Report on Risks and Vulnerabilities in the European Union’s (EU) Financial System. The European financial system faces a range of risks and challenges: 1. Risks from the weak macroeconomic outlook for the financial health of real-economy and sovereign borrowers, and consequently for financial institutions’ asset quality and profitability; 2. Risks of a prolonged period of low interest rates impacting insurers and pension funds, increasing search for yield behaviour and facilitating widespread forbearance by banks; 3. Risks of further fragmentation of the single market in financial services due to evidences of national retrenchment, home bias, reduced cross-border activity and clustering of markets; 4. Risks from increased reliance on collateral in financial transactions; 5. Risks to confidence in financial institutions balance sheet valuations and risk disclosures; and 6. Risks of loss of confidence in financial market benchmarks. These risks, although presented individually in this report, are highly interlinked and require a concerted response by policy makers both at the political level and from the European System of Financial Supervision including the European Supervisory Authorities (ESAs). Suggested policy actions to restore the confidence in the financial system are presented at the end of some described risks. The challenge facing policy makers is nothing less than to restore the confidence and trust in the financial system that has been eroded during recent years’ financial crises. | |||
| 15/04/2013 | ESMA/2013/476 | Peer Review–Money Market Fund Guidelines | Supervisory convergence | Final Report | PDF 763.46 KB |