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|20/09/2021||ESMA34-38||Keynote speech Natasha Cazenave- Salone del Risparmio, 17 September 2021||Fund Management, MiFID - Investor Protection, Speeches||Speech||PDF
|13/09/2021||ESMA35-43-2183||Compliance table- Guidelines for the assessment of knowledge and competence (ESMA/2015/1886)||Guidelines and Technical standards, MiFID - Investor Protection||Compliance table||PDF
|09/09/2021||ESACD 2021||Programme for the joint ESA Consumer Day 2021||Innovation and Products, Joint Committee, MiFID - Investor Protection||Reference||PDF
|08/09/2021||JC 2021 45||Joint ESA report on Risks and Vulnerabilities in the EU financial system No 2 2021||Joint Committee, Risk Analysis & Economics - Markets Infrastructure Investors||Report||PDF
|01/09/2021||ESMA31-67-535||Practical Guide on notifications of major holdings under the Transparency Directive||Corporate Disclosure, Corporate Information, Transparency||Reference||PDF
|01/09/2021||ESMA71-99-1720||ESMA sees risk of market corrections in uneven recovery||Press Releases, Risk Analysis & Economics - Markets Infrastructure Investors||Press Release||PDF
|01/09/2021||ESMA 50-165-1838||ESMA report on trends, risks and vulnerabilities no.2 2021- statistical annex||Market data, Risk Analysis & Economics - Markets Infrastructure Investors||Report||PDF
|01/09/2021||ESMA50-165-1842||ESMA report on trends, risks and vulnerabilities no.2 2021||Risk Analysis & Economics - Markets Infrastructure Investors||Report||PDF
|11/08/2021||Market makers - XLS||Market makers and authorised primary dealers who are using the exemption under the SSR- XLS||Short Selling||Reference||XLSX
|11/08/2021||Market makers - pdf||Market makers and authorised primary dealers who are using the exemption under the SSR- PDF||Short Selling||Reference||PDF
|04/08/2021||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.
|02/08/2021||CFA IPI 27/07/2021||Call for advice to the European Securities and Markets Authority (ESMA) regarding certain aspects relating to retail investor protection||MiFID - Investor Protection||Reference||PDF
|21/07/2021||ESMA35-43-2748||Public statement- Results of the 2020 Common Supervisory Action (CSA) on MiFID II suitability requirements||MiFID - Investor Protection||Statement||PDF
|19/07/2021||ESMA35-43-2751||Sanctions and measures imposed under MiFID II in 2020||MiFID - Investor Protection||Report||PDF
|19/07/2021||ESMA35-36-2324||CP on Guidelines on certain aspects of the MiFID II remuneration requirements||MiFID - Investor Protection||Consultation Paper||PDF
|15/07/2021||ESMA71-99-1709||Press Release- ESMA SPACs statement||MiFID - Investor Protection, Press Releases, Prospectus||Press Release||PDF
|15/07/2021||ESMA32-384-5209||ESMA Public Statement SPACs||MiFID - Investor Protection, Prospectus||Statement||PDF
|13/07/2021||ESMA35-43-2749||ESMA Public Statement PFOF and zero-commission brokers||MiFID - Investor Protection||Statement||PDF
|12/07/2021||ESMA74-362-1978||Final report Technical Advice to EC on simplification and harmonisation of fees to TRs under EMIR and SFTR||Market data, Post Trading, Securities Financing Transactions, Trade Repositories||Final Report||PDF
|09/07/2021||ESMA35-42-1186||Letter to Commissioner McGuinness- European Crowdfunding Service Providers for Business||MiFID - Investor Protection||Letter||PDF