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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
12/09/2015 SSR sanctions Administrative measures and sanctions applicable in Member States to infringements of the Short Selling Regulation (SSR) Reference PDF
633.27 KB
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) Letter PDF
743.74 KB
31/10/2018 Net short thresholds Net short position notification thresholds for sovereign issuers Reference XLSX
25.88 KB

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:
1.0.1% applicable where the total amount of outstanding issued sovereign debt is between 0 and 500 billion euros;
2.0.5% applicable where the total amount of outstanding issued sovereign debt is above 500 billion euros or where there is a liquid futures market for the particular sovereign debt.

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.

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 Reference PDF
207.61 KB
03/03/2016 Mifid mapping Mapping- fields in MiFID systems Reference XLSX
9.54 KB

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/ 

25/05/2020 Market makers - XLS Market makers and authorised primary dealers who are using the exemption under the SSR- XLS Reference XLSX
44.03 KB
17/04/2020 Market makers - pdf Market makers and authorised primary dealers who are using the exemption under the SSR- PDF Reference PDF
553.56 KB
01/12/2015 JC/2015/079 2015 list of identified Financial Conglomerates , Reference PDF
146.29 KB
28/03/2019 ESMA90-1-83 Brexit Update March 2019 , , , , , Statement PDF
121.13 KB
07/10/2019 ESMA90-1-167 Update on the UK’s withdrawal from the European Union- preparations for a possible no-deal Brexit scenario on 31 October 2019 , , , Statement PDF
179.84 KB
30/05/2018 ESMA71-99-991 Statement of the EBA and ESMA on the treatment of retail holdings of debt financial instruments subject to the Bank Recovery and Resolution Directive , Statement PDF
926.71 KB
15/12/2017 ESMA71-99-910 Statement on preparatory work of the European Securities and Markets Authority in relation to CFDs and binary options offered to retail clients , Statement PDF
209.47 KB
06/12/2017 ESMA71-99-669 ESMA MIFID and MAR Data Systems , , , Reference PDF
208.06 KB
02/10/2017 ESMA71-99-608 Annex (Template for the Assessment of Collective Suitability) , Reference XLSX
72.7 KB
29/09/2017 ESMA71-99-602 ESMA appoints new chairs to Standing Committees , , , , , , , Statement PDF
143.69 KB
07/11/2018 ESMA71-99-1058 ESMA new SC chairs , , Statement PDF
142.32 KB
27/03/2018 ESMA71-98-125 FAQ ESMA's product intervention measures in relation to CFDs and binary options offered to retail investors Reference PDF
389.95 KB
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14/02/2017 ESMA70-872942901-19 Letter- MiFID II SIs operating broker crossing networks Letter PDF
212.81 KB
27/03/2019 ESMA70-156-907 Letter Chair to EU Commission on the MiFID Review Reports Letter PDF
136.73 KB
09/11/2018 ESMA70-156-785 Reply form Reply form for the Call for evidence on periodic auctions for equity instruments Reference DOCX
772.02 KB

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