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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|12/07/2013||2013/925||The Clearing Obligation under EMIR||Post Trading||Consultation Paper||PDF
The European Securities and Markets Authority (ESMA) is publishing this discussion paper in order to seek stakeholders’ views on the preparation of the regulatory technical standards ESMA is required to draft under Article 5(2) “Clearing Obligation Procedure” of the Regulation (EU) No 648/2012 of the European Parliament and Council on OTC derivatives, central counterparties and trade repositories (EMIR). The input from stakeholders will help ESMA in the development of the relevant technical standards to be drafted and submitted to the European Commission for endorsement in the form of Commission Regulations, i.e. a legally binding instrument directly applicable in all Member States of the European Union. One essential element in the development of draft technical standards is the analysis of the costs and benefits that those legal provisions will imply. Input in this respect and any supportive data will be highly appreciated and kept confidential where required. Please respond to the consultation using the response template. The closing date for responses is 12 September 2013.
|23/06/2015||JC/DC/2015/01||Technical Discussion Paper (DP) on the PRIIPs Key Information Document (KID)||Fund Management, Joint Committee||Consultation Paper||PDF
|EBA, EIOPA, and ESMA (the ESAs) welcome comments on this Technical Discussion Paper on Risk, Performance Scenarios and Cost Disclosures in Key Information Documents for Packaged Retail and Insurance-based Investment Products (PRIIPs). The discussion paper is available on the websites of the three ESAs. Comments on this discussion paper can be sent using the response form, via the ESMA website under the heading ‘Your input/Consultations’ by 17 August 2015. Contributions not received in Word, or sent to an email address, or after the deadline, will not be processed. It is important to note that although you may not be able to respond to each and every question, the ESAs would encourage partial responses from stakeholders on those questions that they believe are most relevant to them. Publication of responses All contributions received will be published following the close of the consultation, unless you request otherwise. A standard confidentiality statement in an email message will not be treated as a request for non-disclosure. A confidential response may be requested from us in accordance with the ESAs’ rules on public access to documents. We may consult you if we receive such a request. Any decision we make not to disclose the response is reviewable by the Board of Appeal of the ESAs and the European Ombudsman. Data protection Information on data protection can be found on the different ESAs’ websites under the heading ‘Legal notice’.|
|19/12/2016||2016/1672||Technical advice to the Commission on fees for TRs under SFTR and on certain amendments of for fees under EMIR||Post Trading||Consultation Paper||PDF
Reasons for publication
On 15 January 2016 the European Securities and Markets Authority (ESMA) received a formal request from the European Commission (Commission) to provide technical advice to assist the Commission in formulating a Regulation on fees for Trade Repositories (TRs) under SFTR by a delegated act.
The present report contains nine sections. Section 1 refers to the Executive Summary of the report. Section 2 explains the background to our proposals. Section 3 outlines the ESMA’s expected costs. Section 4 establishes the general approach for the determination of fees under EMIR and SFTR. Section 5 explains how ESMA will manage surpluses and deficits under EMIR and SFTR. Section 6 points out the rationale and computation of TRs fees for registration and extension of registration under SFTR. Sections 7 and 8 present the supervision fees under EMIR and SFTR and recognition fees under SFTR. Section 9 refers to the conditions of payment and reimbursement and, finally, Section 10 addresses the instances where delegation to NCAs takes place. Annex I contains the summary of the questions posed by ESMA and Annex II includes the Commission’s mandate to ESMA.
The amendments to fees under EMIR that are consulted in this document are required in order to ensure level –playing field with the ESMA’s fees to TRs under SFTR.
ESMA will consider the feedback it receives to this consultation in Q1 2017 and expects to publish and submit a final report of the technical advice to the European Commission for endorsement by end of Q1/beginning of Q2 of 2017.
|20/12/2013||2013/1974||Revision of the provisions on diversification of collateral in ESMA’s guidelines on ETFs and other UCITS issues||Fund Management||Consultation Paper||PDF
|14/12/2015||2015/1867||Review of Article 26 of RTS No 153/2013 with respect to MPOR for client accounts||Post Trading||Consultation Paper||PDF
|23/06/2015||JC/DP/2015/01 reply form||Response form to joint Discussion Paper on PRIIPS||Fund Management, Joint Committee||Consultation Paper||DOCX
|14/12/2015||2015/1867R||Response Form to CP on review of Article 26 of RTS 153-2013||Post Trading||Consultation Paper||DOCX
|05/11/2015||2015/1628/R||Response form to CP on indirect clearing||Post Trading||Consultation Paper||DOCX
|21/02/2012||2012/113||Questions and Answers- A Common Definition of European Money Market Funds- updated February 2012||Fund Management||Q&A||PDF
|The purpose of this document is to promote common supervisory approaches and practices in the application of the guidelines on a Common Definition of European Money Market Funds developed by CESR by providing responses to questions posed by the general public and competent authorities. The content of this document is aimed at competent authorities to ensure that in their supervisory activities their actions are converging along the lines of the responses adopted by ESMA. However, the answers are also intended to help management companies by providing clarity as to the content of CESR’s guidelines on a Common Definition of European Money Market Funds, rather than creating an extra layer of requirements.|
|21/11/2016||2016/1586||Questions and Answers on UCITS Directive||Fund Management||Q&A||PDF
|02/02/2018||ESMA70-151-1179||Questions and Answers ESMA CCP Stress Test||Post Trading||Q&A||PDF
|29/05/2018||ESMA70-145-408||Question and Answers (Q&A) on the Regulation on short selling and certain aspects of credit default swaps (SSR)||Short Selling||Q&A||PDF
|17/12/2021||ESMA74-362-893||QAs on SFTR data reporting||Post Trading, Securities Financing Transactions, Trade Repositories||Q&A||PDF
|17/12/2021||ESMA70-156-4448||Q&As- Central Securities Depositories Regulation||Post Trading, Supervisory convergence||Q&A||PDF
|19/11/2021||ESMA70-145-114||Q&A on the Benchmarks Regulation (BMR)||Benchmarks, Supervisory convergence||Q&A||PDF
|17/12/2021||ESMA34-43-392||Q&A on the application of the UCITS Directive||Fund Management||Q&A||PDF
|31/05/2016||2016/774||Q&A on the Application of the EuSEF and EuVECA Regulations||Fund Management||Q&A||PDF
|17/12/2021||ESMA34-32-352||Q&A on the Application of the AIFMD||Fund Management, Supervisory convergence||Q&A||PDF
|11/04/2019||ESMA31-62-780||Q&A on Prospectus Related Topics||Brexit, Corporate Disclosure, Corporate Finance, Corporate Governance, Corporate Information, Prospectus, Supervisory convergence||Q&A||PDF
|30/01/2013||2013/159||Q&A on Implementation of the Regulation on short selling and certain aspects of credit default swaps (2nd update)||Short Selling||Q&A||PDF