ESMA LIBRARY
The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
16
REFINE YOUR SEARCH
Sections
- (-) Remove Joint Committee filter Joint Committee
- (-) Remove Market Abuse filter Market Abuse
- (-) Remove Supervisory convergence filter Supervisory convergence
- (-) Remove Benchmarks filter Benchmarks
- (-) Remove CESR Archive filter CESR Archive
- (-) Remove Securitisation filter Securitisation
- Guidelines and Technical standards (44) Apply Guidelines and Technical standards filter
- Post Trading (23) Apply Post Trading filter
- Fund Management (19) Apply Fund Management filter
- MiFID - Investor Protection (16) Apply MiFID - Investor Protection filter
- Credit Rating Agencies (10) Apply Credit Rating Agencies filter
- MiFID - Secondary Markets (8) Apply MiFID - Secondary Markets filter
- Corporate Disclosure (5) Apply Corporate Disclosure filter
- Prospectus (5) Apply Prospectus filter
- Innovation and Products (3) Apply Innovation and Products filter
- Market Integrity (3) Apply Market Integrity filter
- Short Selling (3) Apply Short Selling filter
- IFRS Supervisory Convergence (1) Apply IFRS Supervisory Convergence filter
- Trade Repositories (1) Apply Trade Repositories filter
- Transparency (1) Apply Transparency filter
Type of document
- (-) Remove Compliance table filter Compliance table
- (-) Remove Technical Advice filter Technical Advice
- Final Report (356) Apply Final Report filter
- Press Release (325) Apply Press Release filter
- Reference (254) Apply Reference filter
- Consultation Paper (241) Apply Consultation Paper filter
- Letter (120) Apply Letter filter
- CESR Document (111) Apply CESR Document filter
- Guidelines & Recommendations (89) Apply Guidelines & Recommendations filter
- Report (49) Apply Report filter
- Speech (49) Apply Speech filter
- Statement (38) Apply Statement filter
- Q&A (25) Apply Q&A filter
- Annual Report (23) Apply Annual Report filter
- Decision (20) Apply Decision filter
- Opinion (18) Apply Opinion filter
- Summary of Conclusions (11) Apply Summary of Conclusions filter
- CLOSED Procedure (7) Apply CLOSED Procedure filter
- SMSG Advice (3) Apply SMSG Advice filter
- Technical Standards (3) Apply Technical Standards filter
- Investor Warning (2) Apply Investor Warning filter
Your filters
Supervisory convergence X Board of Appeal X Market Abuse X Benchmarks X CESR Archive X Joint Committee X Securitisation X Technical Advice X Compliance table X
Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 09/06/2010 | 10-333 | Technical Advice- The Equivalence between the Japanese Regulatory and Supervisory Framework and the EU Regulatory Regime for Credit Rating Agencies | CESR Archive, Credit Rating Agencies | Technical Advice | PDF 4.59 MB |
||||
| 03/02/2015 | 2015/224 | ESMA’s technical advice on possible delegated acts concerning the Market Abuse Regulation | Market Abuse | Technical Advice | PDF 1021.03 KB |
This advice:• specifies the MAR market manipulation indicators, by providing examples of practices that may constitute market manipulation as well as proposing “additional” indicators of market manipulation; • recommends to set the minimum thresholds that exempt certain market participants in the emission allowance market from publicly disclosing inside information at six million tonnes of CO2eq per year and at 2,430 MW rated thermal input;• suggests the way to determine to which regulator delays in disclosure of inside information needs to be notified. • provides clarifications on the enhanced disclosure of managers’ transactions. - ESMA recommends disclosing any acquisition, disposal, subscription or exchange of financial instruments of the relevant issuer or related financial instruments carried out by managers,, further illustrated through a non-exhaustive list of types of transactions subject to this obligation. . ESMA also clarifies the transactions that can be allowed by the issuer during a closed period when normally managers are prohibited to trade; and• proposes procedures and arrangements to ensure sound whistleblowing infrastructures – i.e. EU national regulators should allow the receipt of reports of infringements, including appropriate communication channels and guarantee the protection of reporting and reported persons, with respect to their identity and their personal data. Next steps ESMA has sent its technical advice to the European Commission for its consideration in drafting its implementing standards regarding MAR. ESMA’s regulatory technical standards regarding MAR will be delivered in July 2015. | |||
| 18/02/2015 | JC/GL/2014/43 Appendix 1 | Compliance table for JC guidelines for complaints-handling for the securities (ESMA) and banking (EBA) sectors | Guidelines and Technical standards, Joint Committee | Compliance table | PDF 187.15 KB |
The table contains details of the competent authorities* who comply or intend to comply with the ESAs’ Joint Guidelines on complaints-handling for the securities (ESMA) and banking (EBA) sectors. |
|||
| 13/11/2018 | ESMA33-128-505 | Final Technical Advice Securitisation Repositories Fees | Securitisation | Technical Advice | PDF 570.74 KB |
||||
| 04/02/2019 | ESMA70-145-153 | Compliance table- MAR Guidelines on information relating to commodity derivatives markets or related spot markets for the purpose of the definition of inside information on commodity derivatives | Guidelines and Technical standards, Market Abuse, Market Integrity | Compliance table | PDF 179.29 KB |
||||
| 04/02/2019 | ESMA70-145-67 | Compliance table regarding MAR guidelines on delay in the disclosure of inside information | Guidelines and Technical standards, Market Abuse | Compliance table | PDF 177.87 KB |
||||
| 10/04/2019 | JC 2019 25 | Joint ESA advice on the costs and benefits of developing a coherent cyber resilience testing framework for significant market participants and infrastructures | Innovation and Products, Joint Committee | Technical Advice | PDF 785.49 KB |
||||
| 10/04/2019 | JC 2019 26 | Joint ESA advice on the need for legislative improvements relating to ICT risk management requirements | Innovation and Products, Joint Committee | Technical Advice | PDF 1.34 MB |
||||
| 13/02/2020 | ESMA70-145-66 | Compliance table regarding MAR guidelines for persons receiving market soundings | Guidelines and Technical standards, Market Abuse | Compliance table | PDF 138.03 KB |
||||
| 11/03/2020 | ESMA70-156-1434 | Compliance table for Guidelines on non-significant benchmarks (ESMA70-145-1209) | Benchmarks, Guidelines and Technical standards | Compliance table | PDF 129.58 KB |
||||
| 01/04/2020 | ESMA70-156-2287 | Technical Advice to the European Commission on weekly position reports under MiFID II | MiFID - Secondary Markets, Supervisory convergence | Technical Advice | PDF 231.84 KB |
||||
| 10/12/2021 | JC/2015/087 | Compliance Table GL financial conglomerates | Guidelines and Technical standards, Joint Committee | Compliance table | PDF 300.38 KB |
||||
| 17/12/2021 | ESMA35-43-1215 | Compliance table for Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body | Guidelines and Technical standards, Joint Committee, MiFID - Investor Protection | Compliance table | PDF 302.18 KB |
||||
| 13/05/2022 | ESMA34-45-1128 | Compliance table- Guidelines on performance fees in UCITS and certain types of AIFs | Fund Management, Guidelines and Technical standards, Supervisory convergence | Compliance table | PDF 225.5 KB |
||||
| 07/06/2022 | ESMA81-393-477 | Compliance table on Guidelines on methodology oversight function and record keeping requirements | Benchmarks, Guidelines and Technical standards | Compliance table | PDF 195.01 KB |
||||
| 01/08/2022 | ESMA35-43-3339 | Compliance table on the Recommendations to the Cyprus Securities and Exchange Commission on the supervision of cross-border activities of investment firms | Guidelines and Technical standards, Supervisory convergence | Compliance table | PDF 174.28 KB |