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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
09/04/2002 01-014d A European Regime of Investor Protection – The Harmonisation of Conduct of Business Rules CESR Document PDF
133.19 KB
This set of Standards and Rules provides harmonised core conduct of business rules for retail investors in the following areas: Standards and Rules of general application, information to be provided to customers, the "know your customer" standards and the duty of care, customers agreements, dealing requirements (including the "best execution" standards) and individual discretionary portfolio management. The profesional and counterparty regime, including the categorisation of investors paper, requires further work by CESR.
08/07/2002 02-098b A European Regime of Investor Protection – The Professional and Counterparty Regimes CESR Document PDF
63.43 KB
This paper completes the work conducted by CESR on the harmonization of conduct of business rules under the existing Article 11 of the Investment Services Directive. It complements the document (CESR/01-014d) adopted in April 2002 on the so called "retail regime", i.e. the regime applicable to investment services provided to non-professional customers. The paper builds on the proposal for the "Categorisation of investors for the purpose of conduct of business rules". The paper contains: I) core conduct of business rules which should apply to investment services between investment firms and professionals and II) core standards for "counterparty relationships".
06/05/2003 03-129 Additional Draft Feedback Statement on Level 2 Implementing measures for the proposed Prospectus Directive CESR Document PDF
131.89 KB
On Monday 31st March 2003, the European Commission, considering that the European Parliament has not started the second reading on the prospectus proposal, has invited CESR to provide its technical advice on issues initially required for 31st March by July 31st 2003. CESR welcomes this extension and has decided to hold an additional open hearing that will take place at CESR
25/04/2003 03-067b Additional Public Hearing on possible implementing measures of the Prospectus Directive: Draft Feedback Statement CESR Document PDF
220.18 KB
On Monday 31st March 2003, the European Commission, considering that the European Parliament has not started the second reading on the prospectus proposal, has invited CESR to provide its technical advice on issues initially required for 31st March by July 31st 2003. CESR welcomes this extension and has decided to hold an additional open hearing that will take place at CESR
29/06/2012 2012/415 Call for Evidence on Empty Voting , CESR Document PDF
275.66 KB
ESMA launched a Call for Evidence on Empty Voting in September 2011 to analyse the potential issues and concerns raised by the practice of empty voting and to examine whether there was a possible need for further action. An analysis of the responses received to the consultation has led ESMA to conclude that there is insufficient evidence to justify any regulatory action at the European level at present.
03/07/2009 09-681 Call for evidence- Fact finding exercise of the use in the European Union of ratings issued by third countries CRAs CESR Document PDF
3.34 MB
21/10/2004 04-434 CESR guidelines for supervisors regarding the transitional provisions of the amending UCITS Directives (2001/107/EC amd 2001/108/EC) CESR Document PDF
168.28 KB
04/03/2004 04-057 CESR Guidelines for the Consistent Implementation of the Proposed Commission's Regulation on Prospectus- Call for Evidence CESR Document PDF
84.83 KB
Prospectus Directive and accompanying Regulation establishes a harmonised format for Prospectus in Europe and enables companies to use this Prospectus to list on all European markets without having to re-apply for approval from the local regulator and by so doing help companies avoid the inherent delays and costs that this may involve. As a result of this new legislation, consumers can also be assured of more consistent and standardised information which will enable them to compare more effectively the various share offers available from a wider number of European listed companies. This is likely to lead to a greater range of products available to consumers and will encourage European companies to list and offer on a number of exchanges or markets due to the strengthening and simplification of the regulatory regime.
03/11/2005 05-178b CESR Recommendation on Alternative Performance Measures CESR Document PDF
76.84 KB
03/09/2003 03-213b CESR's Advice on the Second Set of Implementing Measures for the Market Abuse Directive- Feedback Statement CESR Document PDF
156.6 KB
The Committee of European Securities Regulators (CESR) released today the Advice on the Second Set of Implementing Measures for the Market Abuse Directive (Ref. CESR/03-212c), accompanied by a Feedback Statement (Ref. CESR/03-213b).
19/03/2007 07-044 CESR's guidelines concerning eligible assets for investment by UCITS CESR Document PDF
131.42 KB
CESR publishes today its final Level 3 guidelines on eligible assets of UCITS (Ref. CESR/07-044). These guidelines complement the Level 2 implementing Directive adopted today by the European Commission (see http://eur-lex.europa.eu/en/index.htm)
02/10/2008 07-044b CESR's guidelines concerning eligible assets for investment by UCITS CESR Document PDF
110.75 KB
09/02/2007 07-043 CESR's Level 3 Guidelines and recommendations on Publication and Consolidation of markets data CESR Document PDF
174.96 KB
09/02/2007 06-552c CESR's Level 3 Recommendations on the List of minimum records under Article 51(3) of the MiFID Implementing Directive CESR Document PDF
76.94 KB
23/06/2009 09-446 CESR-ESCB recommendations for securities settlement systems and recommendations for central counterparties in the European Union CESR Document PDF
720.58 KB
30/08/2010 10-945 CESR’s Guidance on common standards for assessment of compliance of credit rating methodologies with the requirements set out in Article 8.3 CESR Document PDF
258.93 KB
30/08/2010 10-944 CESR’s Guidance on the enforcement practices and activities to be conducted under Article 21.3(a) of the Regulation CESR Document PDF
272.32 KB
20/12/2010 10-1320 CESR’s guide to clear language and layout for the Key Investor Information document CESR Document PDF
161.87 KB
27/10/2005 05-484 CESR’s guidelines for supervisors regarding the notification procedure according to Section VIII of the UCITS Directive CESR Document PDF
214.72 KB
03/02/2005 04-434b CESR’s guidelines for supervisors regarding the transitional provisions of the amending UCITS Directives (2001/107/EC and 2001/108/EC) CESR Document PDF
117.45 KB

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