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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
15/10/2018 ESMA31-62-1114 2017 Report on EEA prospectus activity Final Report PDF
385.45 KB
04/12/2017 ESMA31-69-163 FORM Application form for CFSC CWG , Reference DOCX
34.73 KB
04/12/2015 2015/1408 rev Application form for Corporate Finance Consultative Working Group , Reference DOCX
38.7 KB
04/12/2015 2015/1407 rev Call for expression of interest- Renewal of the Corporate Finance Consultative Working Group , Reference PDF
186.07 KB
04/12/2017 ESMA31-69-163 Call for expressions of interest for the Consultative Working Group of ESMA’s Corporate Finance Standing Committee (CFSC) , Reference PDF
275.59 KB
27/05/2019 ESMA70-151-1019 Consolidated SFTR_Validation_Rules Reference XLSX
120.19 KB
27/05/2019 ESMA70-151-1985 Consultation paper on Guidelines for reporting under Articles 4 and 12 SFTR Consultation Paper PDF
1.32 MB
13/07/2018 ESMA31-62-996 Consultation Paper on Guidelines on Risk Factors Consultation Paper PDF
833.24 KB
13/07/2018 ESMA31-62-962 Consultation Paper on minimum information content for prospectus exemption Consultation Paper PDF
1.6 MB
23/03/2018 ESMA33-128-109 Consultation Paper Securitisation Repositories Application Consultation Paper PDF
720.24 KB
19/12/2017 ESMA33-128-107 Consultation_Paper_Disclosure_and_Operational_Standards Consultation Paper PDF
2.66 MB
19/12/2017 ESMA33-128-33 Consultation_Paper_STS notification Consultation Paper PDF
1.01 MB
19/12/2017 ESMA33-128-108 Consultation_Paper_Third-Party_Firm_STS_Verification_Application Consultation Paper PDF
586.89 KB
30/09/2016 2016/1409 Draft RTS and ITS under SFTR and amendments to related EMIR RTS , Consultation Paper PDF
5.63 MB

The European Securities and Markets Authority (ESMA) is publishing this Consultation Paper as part of its consultations on Level 2 measures under the Securities Financing Transactions Regulation (SFTR) as well as certain amendments to the Level 2 measures under EMIR in order to take into account legal developments as well as to ensure consistency, where relevant, between the frameworks of both regulations

Contents

Section 1 is the executive summary of the document. Section 2 explains the background to our proposals. Section 3 includes detailed information on the procedure and criteria for registration as TR under SFTR. Section 4 details the use of internationally agreed reporting standards, the reporting logic under SFTR and the main aspects of the structure of an SFT report. Section 5 covers the requirements regarding transparency of data and aggregation and comparison of data. Section 6 details the access levels of authorities. Section 7 contains the tables of fields, for the relevant types of SFTs, as well as a summary of all the questions.

Next Steps

ESMA will consider the feedback it received to this document in the fourth quarter of 2016. The final report and the draft technical standards will be submitted to the European Commission for endorsement by the end of Q1/beginning Q2 2017.

03/07/2017 ESMA31-62-746 EEA prospectus activity in 2016 , Report PDF
475.66 KB
29/09/2017 ESMA71-99-602 ESMA appoints new chairs to Standing Committees , , , , , , , Statement PDF
143.69 KB
30/09/2016 2016/1411 ESMA consults on future reporting rules for securities financing transactions , , Press Release PDF
148.11 KB

The European Securities and Markets Authority (ESMA) has issued today a consultation paper on draft technical standards implementing the Securities Financing Transaction Regulation (SFTR), which aims to increase the transparency of shadow banking activities. Securities financing transactions (SFTs) are transactions where securities are used to borrow cash (or other higher investment-grade securities), or vice versa – this includes repurchase transactions, securities lending and sell/buy-back transactions.

19/12/2017 ESMA71-99-916 ESMA consults on securitisation requirements , Press Release PDF
150.34 KB
13/07/2018 ESMA31-59-995 ESMA letter to EC on PR Level 1 Letter PDF
213.67 KB
31/01/2019 ESMA33-128-600 ESMA Opinion on securitisation RTS Opinion PDF
4.02 MB

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