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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
23/02/2015 2015/168 Letter to EU Institutions re ESMA’s 2015 Work Programme , , Letter PDF
37.31 KB
Dear Mr Gualtieri, Ms Ribkina and Commissioner Hill, On 30 September 2014 we sent you ESMA’s Work Programme for 2015, which was based on the budget request that had been approved by ESMA’s Board of Supervisors: a budget of €38,639,000 and 147 Establishment Plan posts. The EU budget had not been voted at the time. Following the adoption of the EU budget, ESMA’s 2015 expenditure budget is €33,601,402 (plus an additional €3,100,000 from assigned revenues for tasks delegated from National Competent Authorities) with an Establishment Plan of 137 posts. ESMA’s Board of Supervisors has approved a revised work programme to account for the difference of €5m and 10 Establishment Plan posts; representing a 15% reduction compared to the planned ESMA budget and 7% of its Establishment Plan. ESMA will therefore lack sufficient resources to execute all the tasks that were initially planned for 2015. The Work Programme explains the areas where reprioritisation had to take place, including the risk that ESMA will not fully meet its legal obligations, for instance due to the delay of delivery compared to legally set timetables. A summary of the deprioritised tasks is annexed to the Work Programme and reproduced in the table below. 2014/1200rev ESMA Work Programme
06/03/2015 2015/422 ESMA's response to the consultation on IOSCO Letter PDF
27.24 KB
13/05/2015 2015/841 Letter to the European Commission- Early legal review Letter PDF
241.49 KB
21/05/2015 2015/855 ESMA letter to the Commissioner Hill- ESMA Response to EC Green Paper on CMU Letter PDF
52.37 KB
21/05/2015 2015/856 ESMA response to the Commission Green Paper on Building a Capital Markets Union Letter PDF
348.14 KB
21/05/2015 2015/858 ESMA response to the European Commission consultation on “An EU framework for simple, transparent and standardised securitisation” Letter PDF
245.42 KB
28/10/2016 2016/1529 Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body and key function holders , Consultation Paper PDF
1.13 MB
31/05/2016 2016/732 Guidelines on participant default rules and procedures under CSDR , Consultation Paper PDF
450.56 KB

The European Securities and Markets Authority (ESMA) under Article 41(4) of Regulation (EU) No 909/2014 of the European Parliament and of the Council on improving securities settlement in the European Union and on central securities depositories and amending Directives 98/26/EC and 2014/65/EU and Regulation No 236/2012 (CSDR) may issue guidelines in accordance with Article 16 of Regulation (EU) No 1095/2010 in order to ensure consistent application of Article 41 of CSDR relating to participant default rules and procedures.

Contents

Section 2 contains information on the background and mandate, Section 3 contains an analysis of the scope and content of the proposed guidelines, while Section 4 contains the proposed guidelines.

Annex I sets out a summary of the questions contained in this paper and Annex II includes a high level cost-benefit analysis for the guidelines.

Next Steps

ESMA will consider the feedback it will receive to this consultation with a view to finalising the guidelines by Q4 2016.

13/05/2015 22392237 Letter from the European Commission- Early legal review Letter PDF
61.81 KB
29/09/2017 70-145-105 Draft Guidelines on non-significant benchmarks , Consultation Paper PDF
557.29 KB
16/12/2020 ESA 2020 28 ESAs Letter to IFRS Foundation consultation sustainability reporting Letter PDF
155.56 KB
18/12/2020 ESMA-70-156-2368 MiFID II Consultation Paper on Algorithmic Trading , Consultation Paper PDF
1.64 MB
31/01/2020 ESMA31-59-1451 Letter to EC concerning ESMA's techical advice on general equivalence criteria for prospectuses Letter PDF
117.07 KB
13/07/2018 ESMA31-59-995 ESMA letter to EC on PR Level 1 Letter PDF
213.67 KB
11/04/2019 ESMA31-62-780 Q&A on Prospectus Related Topics , , , , , , Q&A PDF
957.9 KB
13/07/2018 ESMA31-62-962 Consultation Paper on minimum information content for prospectus exemption Consultation Paper PDF
1.6 MB
13/07/2018 ESMA31-62-996 Consultation Paper on Guidelines on Risk Factors Consultation Paper PDF
833.24 KB
09/11/2020 ESMA31-67-127 Question and answers on Transparency Directive (TD) , , , , Q&A PDF
352.79 KB
16/02/2021 ESMA32-339-151 Letter IFRS IC TLTRO III Letter PDF
436.9 KB
17/04/2020 ESMA32-51-370 Q&A on ESMA Guidelines on Alternative Performance Measures , Q&A PDF
329.01 KB