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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
18/02/2019 ESMA40-134-347 Conflict of interests and ethics policy- ESMA staff Careers, Corporate Information Reference PDF
6.95 MB
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 04-505b Market Abuse Directive- Level 3 – first set of CESR guidance and information on the common operation of the Directive Guidelines and Technical standards, Market Abuse Guidelines & Recommendations PDF
119.41 KB		 http://www.cesr-eu.org/data/document/04_505b.pdf
15/05/2009 09-219 Guidelines- MAD Level 3 – Third set of CESR guidance and information on the common operation of the Directive to the market Guidelines and Technical standards, Market Abuse Guidelines & Recommendations PDF
281.09 KB
10/03/2011 2011/11 Public statement of consultation practices Corporate Information Statement PDF
102.44 KB
18/05/2011 2011/139 Final report- Guidelines on the application of the endorsement regime under Article 4 (3) of the Credit Rating Agencies Regulation No 1060/2009 Credit Rating Agencies, Guidelines and Technical standards Guidelines & Recommendations PDF
653.98 KB
20/01/2011 2011/16 Letter to the SEC- Rulemakings on Registration of non-resident Swap Data Repositories MiFID - Secondary Markets Letter PDF
30.66 KB
17/12/2012 2011/188 BG Сътрудничество, включващо делегиране между ЕОЦКП, компетентните органи и секторните компетентни органи съгласно Регламент (EС) № 513/2011 относно агенциите за кредитен рейтинг Guidelines and Technical standards Guidelines & Recommendations PDF
256.32 KB		 Сътрудничество, включващо делегиране между ЕОЦКП, компетентните органи и секторните компетентни органи съгласно Регламент (EС) № 513/2011 относно агенциите за кредитен рейтинг
17/12/2012 2011/188 CS Spolupráce zahrnující přenesení úkolů mezi Evropským orgánem pro cenné papíry a trhy, příslušnými orgány a odvětvovými příslušnými orgány podle nařízení (EU) č. 513/2011 o ratingových agenturách Guidelines and Technical standards Guidelines & Recommendations PDF
205.99 KB		 Spolupráce zahrnující přenesení úkolů mezi Evropským orgánem pro cenné papíry a trhy, příslušnými orgány a odvětvovými příslušnými orgány podle nařízení (EU) č. 513/2011 o ratingových agenturách
17/12/2012 2011/188 DA Samarbejde, herunder delegation, mellem ESMA, de kompetente myndigheder og de kompetente sektormyndigheder i henhold til forordning (EU) nr. 513/2011 om kreditvurderingsbureauer Guidelines and Technical standards Guidelines & Recommendations PDF
189.43 KB		 Samarbejde, herunder delegation, mellem ESMA, de kompetente myndigheder og de kompetente sektormyndigheder i henhold til forordning (EU) nr. 513/2011 om kreditvurderingsbureauer
17/12/2012 2011/188 DE Leitlinien und Empfehlungen zur Zusammenarbeit einschließlich Delegation zwischen der ESMA, den zuständigen Behörden und den sektoralen zuständigen Behörden gemäß Verordnung (EU) Nr. 513/2011 über Ratingagenturen Guidelines and Technical standards Guidelines & Recommendations PDF
74.64 KB		 Leitlinien und Empfehlungen zur Zusammenarbeit einschließlich Delegation zwischen der ESMA, den zuständigen Behörden und den sektoralen zuständigen Behörden gemäß Verordnung (EU) Nr. 513/2011 über Ratingagenturen
17/12/2012 2011/188 EL Συνεργασία, περιλαμβανομένης της ανάθεσης καθηκόντων, μεταξύ της ΕΑΚΑΑ, των αρμόδιων αρχών και των τομεακών αρμόδιων αρχών δυνάμει του κανονισμού (ΕΕ) αριθ. 513/2011 για τους οργανισμούς αξιολόγησης πιστοληπτικής ικανότητας Guidelines and Technical standards Guidelines & Recommendations PDF
258.45 KB		 Συνεργασία, περιλαμβανομένης της ανάθεσης καθηκόντων, μεταξύ της ΕΑΚΑΑ, των αρμόδιων αρχών και των τομεακών αρμόδιων αρχών δυνάμει του κανονισμού (ΕΕ) αριθ. 513/2011 για τους οργανισμούς αξιολόγησης πιστοληπτικής ικανότητας
17/12/2012 2011/188 ES Cooperación, incluida la delegación de tareas, entre la AEVM, las autoridades competentes y las autoridades sectoriales competentes con arreglo al Reglamento (UE) n.º 513/2011 sobre las agencias de calificación crediticia Guidelines and Technical standards Guidelines & Recommendations PDF
177.42 KB		 Cooperación, incluida la delegación de tareas, entre la AEVM, las autoridades competentes y las autoridades sectoriales competentes con arreglo al Reglamento (UE) n.º 513/2011 sobre las agencias de calificación crediticia
17/12/2012 2011/188 ET Koostöö ja delegeerimine Euroopa Väärtpaberiturujärelevalve (ESMA), pädevate asutuste ja valdkondlike pädevate asutuste vahel vastavalt määrusele (EÜ) nr 513/2011 reitinguagentuuride kohta Guidelines and Technical standards Guidelines & Recommendations PDF
191.44 KB		 Koostöö ja delegeerimine Euroopa Väärtpaberiturujärelevalve (ESMA), pädevate asutuste ja valdkondlike pädevate asutuste vahel vastavalt määrusele (EÜ) nr 513/2011 reitinguagentuuride kohta
17/12/2012 2011/188 FI Yhteistyö, joka kattaa EAMV:n, toimivaltaisten viranomaisten ja alakohtaisten toimivaltaisten viranomaisten väliset siirrot luottoluokituslaitoksista annetun asetuksen (EU) No 513/2011 mukaisesti Guidelines and Technical standards Guidelines & Recommendations PDF
176.19 KB		 Yhteistyö, joka kattaa EAMV:n, toimivaltaisten viranomaisten ja alakohtaisten toimivaltaisten viranomaisten väliset siirrot luottoluokituslaitoksista annetun asetuksen (EU) No 513/2011 mukaisesti
17/12/2012 2011/188 FR Coopération, y compris délégation entre l’AEMF, les autorités compétentes et les autorités compétentes sectorielles, conformément au règlement (UE) n° 513/2011 sur les agences de notation de crédit Guidelines and Technical standards Guidelines & Recommendations PDF
202.62 KB		 Coopération, y compris délégation entre l’AEMF, les autorités compétentes et les autorités compétentes sectorielles, conformément au règlement (UE) n° 513/2011 sur les agences de notation de crédit
17/12/2012 2011/188 HU A feladatok átruházását is magában foglaló együttműködés az EÉPH, a hatáskörrel rendelkező hatóságok és a hatáskörrel rendelkező ágazati hatóságok között a hitelminősítő intézetekről szóló 513/2011/EU rendelet értelmében Guidelines and Technical standards Guidelines & Recommendations PDF
195.43 KB		 A feladatok átruházását is magában foglaló együttműködés az EÉPH, a hatáskörrel rendelkező hatóságok és a hatáskörrel rendelkező ágazati hatóságok között a hitelminősítő intézetekről szóló 513/2011/EU rendelet értelmében
17/12/2012 2011/188 IT Cooperazione, compresa la delega, fra AESFEM, autorità competenti e autorità settoriali competenti ai sensi del regolamento (UE) n. 513/2011 del Parlamento europeo e del Consiglio, dell'11 maggio 2011, recante modifica del regolamento (CE) n. 1060/2009 re Guidelines and Technical standards Guidelines & Recommendations PDF
199.35 KB		 Cooperazione, compresa la delega, fra AESFEM, autorità competenti e autorità settoriali competenti ai sensi del regolamento (UE) n. 513/2011 del Parlamento europeo e del Consiglio, dell'11 maggio 2011, recante modifica del regolamento (CE) n. 1060/2009 re
17/12/2012 2011/188 LT EVPRI, kompetentingų institucijų ir sektorių kompetentingų institucijų bendradarbiavimas, įskaitant užduočių pavedimą pagal Reglamentą (ES) Nr. 513/2011 dėl kredito reitingų agentūrų Guidelines and Technical standards Guidelines & Recommendations PDF
205.01 KB		 EVPRI, kompetentingų institucijų ir sektorių kompetentingų institucijų bendradarbiavimas, įskaitant užduočių pavedimą pagal Reglamentą (ES) Nr. 513/2011 dėl kredito reitingų agentūrų
17/12/2012 2011/188 LV Sadarbība, ietverot deleģējumu, starp EVTI, kompetentajām iestādēm un nozares kompetentajām iestādēm saskaņā ar Regulu (ES) Nr. 513/2011 par kredītreitingu aģentūrām Guidelines and Technical standards Guidelines & Recommendations PDF
237.14 KB		 Sadarbība, ietverot deleģējumu, starp EVTI, kompetentajām iestādēm un nozares kompetentajām iestādēm saskaņā ar Regulu (ES) Nr. 513/2011 par kredītreitingu aģentūrām

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