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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|11/08/2011||2011/266||Public statement- harmonised regulatory action on short-selling in the EU||Short Selling, Press Releases||Statement||PDF
|20/04/2012||2012/236||ESMA's Technical Advice on possible delegated acts of the short-selling and certain aspects of CDS||Short Selling, Market Integrity||Technical Advice||PDF
|30/08/2012||2012/537||STATEMENT- Short Selling Regulation Update: Market Maker & Primary Dealer Exemption Notification Procedure||Short Selling, Market Integrity, Press Releases||Statement||PDF
|The European Securities and Markets Authority (ESMA) is publishing this notice to alert financial market participants to its upcoming consultation on the market making and authorised primary dealer exemption under the EU’s Short Selling Regulation (SSR) and the procedure to be followed by firms and regulators in dealing with notifications of intention to use the exemption.|
|13/09/2012||2012/577||ESMA publishes a Q&A on Short-Selling Regulation||Short Selling, Market Integrity||Statement||PDF
|The European Securities and Markets Authority (ESMA) has published a Q&A on the Implementation of the Regulation on short selling and certain aspects of credit default swaps.The purpose of the Q&A is to promote common supervisory approaches and practices amongst the EU’s national securities markets regulators on the requirements of the Short Selling Regulation once it comes into force on 1 November 2012. It will also provide clarity on the requirements of the new regime to market participants and investors.Issues addressed by the Q&AThe document provides responses to questions posed by market participants, national securities markets regulators, and the general public in relation to the practical application of the forthcoming Short Selling regime. It addresses issues related to:• territorial scope;• transparency requirements; • calculation of net short positions;• uncovered short sales; • and enforcement regime.Further InformationThe document is likely to be revised and updated before 1 November as new questions are received by ESMA.Technical queries on the application of the new regime should be addressed in writing to email@example.com, while further information can be found at http://www.esma.europa.eu/page/Short-selling. Notes for editors1. Questions & Answers – Implementation of the regulation on short selling and certain aspects of credit default swaps.2. Regulation on short selling and certain aspects of credit default swaps.3. ESMA is an independent EU Authority that was established on 1 January 2011 and works closely with the other European Supervisory Authorities responsible for banking (EBA), and insurance and occupational pensions (EIOPA), and the European Systemic Risk Board (ESRB).4. ESMA’s mission is to enhance the protection of investors and promote stable and well-functioning financial markets in the European Union (EU). As an independent institution, ESMA achieves this aim by building a single rule book for EU financial markets and ensuring its consistent application across the EU. ESMA contributes to the regulation of financial services firms with a pan-European reach, either through direct supervision or through the active co-ordination of national supervisory activity.Further information:David CliffeSenior Communications OfficerTel: +33 (0)1 58 36 43 24Mob: +33 6 42 48 29 06Email: firstname.lastname@example.org|
|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
|03/06/2013||2013-614||ESMA’s technical advice on short selling regulation||Short Selling||Technical Advice||PDF
|Final Report 2013/614 ESMA‘s technical advice on the evaluation of the Regulation (EU) 236/2012 of the European Parliament and of the Council on short selling and certain aspects of credit default swaps|
|13/06/2014||ESMA 2013||ESMA Annual Report for 2013||Planning reporting budget||Annual Report||PDF
|31/07/2014||2014/944||Potential Risks Associated with Investing in Contingent Convertible Instruments||Warnings and publications for investors, Innovation and Products||Statement||PDF
|The European Securities and Markets Authority (ESMA) is issuing this statement to clarify to institutional investors risks from a newly emerging asset class referred to by most market participants as contingent convertibles instruments (CoCos). If they work as intended in a crisis CoCos will play an important role to inhibit risk transfer from debt holders to taxpayers. They along with standards to improve the quality and quantity of bank capital reflect a considerate response to the former regulatory capital framework. However, it is unclear as to whether investors fully consider the risks of CoCos and correctly factor those risks into their valuation. ESMA believes there are specific risks to CoCos and that investors should take those risks into consideration prior to investing in these instruments.|
|15/06/2015||2015/934||ESMA Annual Report 2014||Planning reporting budget||Annual Report||PDF
|01/07/2015||2015/1005||Questions and Answers: Investment-based crowdfunding: money laundering/terrorist financing||Innovation and Products||Q&A||PDF
|15/06/2016||2016/960||ESMA Annual Report 2015||Corporate Information, Planning reporting budget||Annual Report||PDF
BG - Преводът е предоставен от Центъра за преводи за органите на Европейския съюз.
CS - Tento překlad vypracovalo Překladatelské středisko pro instituce Evropské unie.
DA - Denne oversættelse er udarbejdet af Oversættelsescentret for Den Europæiske Unions Organer.
DE - Die Übersetzung erfolgte durch das Übersetzungszentrum für die Einrichtungen der Europäischen Union.
EL - Η παρούσα μετάφραση έγινε από το Μεταφραστικό Κέντρο των Οργάνων της Ευρωπαϊκής Ένωσης.
ES - Texto traducido por el Centro de Traducción de los Órganos de la Unión Europea.
ET - Selle tõlke tegi Euroopa Liidu Asutuste Tõlkekeskus.
FI - Euroopan unionin elinten käännöskeskus on tehnyt tämän käännöksen.
FR - La présente traduction a été fournie par le Centre de traduction des organes de l’Union européenne.
HR - Za prijevod se pobrinuo Prevoditeljski centar za tijela Europske unije.
HU - Ezt a fordítást az Európai Unió.
IT - La presente traduzione è stata fornita dal Centro di traduzione degli organismi dell’Unione europea.
LT - Šį tekstą išvertė Europos Sąjungos įstaigų vertimo centras.
LV - Šo tulkojumu ir nodrošinājis Eiropas Savienības iestāžu Tulkošanas centrs.
NL - Deze vertaling is verzorgd door het Vertaalbureau voor de organen van de Europese Unie.
PL - Tłumaczenie wykonane przez Centrum Tłumaczeń dla Organów Unii Europejskiej.
PT - Esta tradução foi fornecida pelo Centro de Tradução dos Organismos da União Europeia.
RO - Această traducere a fost asigurată de Centrul de Traduceri pentru Organismele Uniunii Europene.
SK - Preklad vyhotovilo Prekladateľské stredisko pre orgány Európskej únie.
SL - Prevod je zagotovil Prevajalski center za organe Evropske unije.
SV - Den här översättningen har utförts av Översättningscentrum för Europeiska unionens organ.
|07/03/2017||ESMA50-1623096732-432||Opening remarks Financial Innovation Day||Innovation and Products||Statement||PDF
|07/03/2017||ESMA50-1623096732-432x||Closing remarks Financial Innovation Day||Innovation and Products||Statement||PDF
|14/06/2017||ESMA20-95-590||Annual Report 2016||Board of Supervisors, Corporate Information, Planning reporting budget||Annual Report||PDF
Corrigendum - date on the letter of assurance from the Executive Director on p81 had inadvertently been dated 14 June 2017, when the letter was signed on 2 June 2017. The date has been amended accordingly
|28/06/2017||ESMA35-36-885||Product Intervention- General Statement||Innovation and Products, MiFID - Investor Protection||Statement||PDF
This statement provides an update on the European Securities and Markets Authority’s (ESMA) work in relation to the sale of contracts for differences (CFDs), binary options and other speculative products to retail investors.
ESMA has been concerned about the provision of speculative products such as CFDs, rolling spot forex and binary options to retail investors for a considerable period of time and has conducted ongoing monitoring and supervisory convergence work in this area. In this context, ESMA has previously published a number of Q&As on CFDs and other speculative products to foster supervisory convergence, having established a CFD Task Force in July 2015, and also issued a further investor warning on the sale of CFDs, binary options and other speculative products in July 2016.
However, ESMA remains concerned that these supervisory convergence tools may not be sufficiently effective to ensure that the risks to consumer protection are sufficiently controlled or reduced. ESMA is therefore discussing the possible use of its product intervention powers under Article 40 of MiFIR to address investor protection risks in relation to CFDs, rolling spot forex and binary options.
ESMA is in the process of discussing the possible use of its product intervention powers under Article 40 of MiFIR, the possible content of any such measures, and how they could be applied. However, ESMA can confirm that the measures being discussed for (i) CFDs and rolling spot forex and (ii) binary options include proposals that take into account a number of measures that have been adopted or publicly consulted on by EU National Competent Authorities. These measures include leverage limits, guaranteed limits on client losses, and / or restrictions on the marketing and distribution of these products.
In accordance with Article 40 of MiFIR, any intervention measures must be approved by the ESMA Board of Supervisors and can only come into effect from 3 January 2018 at the earliest.
 ESMA/2016/1166 Warning about CFDs, binary options and other speculative products published 25 July 2016
|29/09/2017||ESMA71-99-602||ESMA appoints new chairs to Standing Committees||Board of Supervisors, Corporate Disclosure, Corporate Finance, Corporate Information, Innovation and Products, Market Integrity, MiFID - Secondary Markets, Post Trading||Statement||PDF
|13/11/2017||ESMA50-157-829||ESMA alerts investors to the high risks of Initial Coin Offerings (ICOs)||Innovation and Products, Warnings and publications for investors||Statement||PDF
|13/11/2017||ESMA50-157-828||ESMA alerts firms involved in Initial Coin Offerings (ICOs) to the need to meet relevant regulatory requirements||Innovation and Products, Warnings and publications for investors||Statement||PDF
|23/05/2018||ESMA71-99-979||ESMA appoints new chair to its Committee of Economic and Markets’ Analysis||Innovation and Products, Risk Analysis & Economics - Markets Infrastructure Investors||Statement||PDF
|29/05/2018||ESMA70-145-408||Question and Answers (Q&A) on the Regulation on short selling and certain aspects of credit default swaps (SSR)||Short Selling||Q&A||PDF