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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|24/08/2007||VDP||VDP response||CESR Archive||Reference||PDF
|15/02/2005||US Equivalence||USA reponse to questionnaire on GAAP Equivalence||CESR Archive||Final Report||PDF
|22/03/2005||US Enforcement||USA response to CESR survey on Enforcement Mechanisms||CESR Archive||Final Report||PDF
|12/09/2015||SSR sanctions||Administrative measures and sanctions applicable in Member States to infringements of the Short Selling Regulation (SSR)||Short Selling||Reference||PDF
|24/08/2007||SP||S&P response||CESR Archive||Reference||PDF
|23/03/2001||ResolutionStockholm||Stockholm Resolution||CESR Archive||Reference||PDF
|Resolution of the European Council on more effective securities market regulation in the European Union Stockholm, 23 March 2001|
|22/06/2018||Reply to ESMA70-154-5851||Letter from Commission VP Dombrovskis answer to ESMA letter on MiFID II ancillary activity (ESMA70-154-5851)||MiFID - Secondary Markets||Letter||PDF
|18/05/2017||pkaspeech||Speech by Patrick Armstrong on The Adoption of RegTech within the Financial Services Industry||Innovation and Products||Speech||PDF
|24/08/2007||NVB-CRA||NVB response||CESR Archive||Reference||PDF
|31/10/2018||Net short thresholds||Net short position notification thresholds for sovereign issuers||Short Selling||Reference||XLSX
According to Article 7(2) of the Short Selling Regulation, ESMA has to publish a list of the thresholds applicable to the sovereign issuers for the purpose of the notification to competent authorities of significant net short position in sovereign debt.
The way these notification thresholds are defined is further specified in the Commission Delegated Regulation No 918/2012 (the “DR”). The DR specifies that initial threshold categories shall be:
The additional incremental levels shall be set at 50% of the initial thresholds. The reporting thresholds shall be monetary amounts fixed by applying the percentage thresholds to the outstanding sovereign debt of the sovereign issuer. They will be revised and updated quarterly to reflect changes in the total amount of outstanding sovereign debt of each sovereign issuer.
In addition, the DR states that the amount of outstanding debt should be calculated using a duration adjusted approach. ESMA has published a Q&A document on how to proceed for the duration adjustment.
The table of thresholds contains the name of the sovereign issuer, the amount of outstanding debt duration adjusted, the initial threshold amount and the relevant percentage, the incremental threshold amount and the relevant percentage.
Please note that the figures of the amount of outstanding debt are duration adjusted (not nominal amounts) and are approximations provided by competent authorities.
|10/07/2014||MOU IFRS ESMA||IFRS Foundation and ESMA statement of protocols for cooperation on International Financial Reporting Standards||Corporate Disclosure||Reference||PDF
|19/07/2013||MOU ACER ESMA||MoU between ESMA and ACER concerning the consultation and cooperation regarding their regulatory responsibilities in relation to EU wholesale energy market||MiFID - Secondary Markets||Reference||PDF
|24/08/2007||MIS||Moody's response||CESR Archive||Reference||PDF
|13/10/2010||MiFID Review Compiled Version 2nd set||CESR second set of Technical Advice to the European Commission in the Context of the MiFID Review and Responses to the European Commission Request for Additional Information||CESR Archive||Final Report||PDF
|29/07/2010||MiFID Review Compiled Version||CESR Technical Advice to the European Commission in the Context of the MiFID Review and Responses to the European Commission Request for Additional Information||CESR Archive||Final Report||PDF
|03/03/2016||Mifid mapping||Mapping- fields in MiFID systems||MiFID - Secondary Markets||Reference||XLSX
This document provides a mapping of the fields between the old MiFID database http://mifiddatabase.esma.europa.eu/ and the lists available on the Registers portal http://registers.esma.europa.eu/publication/
|11/04/2007||McCreevy 05/03/07||Letter from Charlie McCreevy, Commissioner for the Internal Market, regarding standard forms for the notification of holdings of voting rights||CESR Archive||Letter||PDF
|13/04/2010||MARKT G3/SH/cr Ares (2009)||Commission request for additional information from CESR in relation to the review of MiFID||CESR Archive||Reference||PDF
|27/03/2020||Market makers - XLS||Market makers and authorised primary dealers who are using the exemption under the SSR- XLS||Short Selling||Reference||XLSX
|27/03/2020||Market makers - pdf||Market makers and authorised primary dealers who are using the exemption under the SSR- PDF||Short Selling||Reference||PDF