ESMA LIBRARY
The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
27
REFINE YOUR SEARCH
Sections
- (-) Remove Market Abuse filter Market Abuse
- (-) Remove Corporate Finance filter Corporate Finance
- (-) Remove Corporate Governance filter Corporate Governance
- (-) Remove European Single Electronic Format filter European Single Electronic Format
- CESR Archive (216) Apply CESR Archive filter
- Speeches (159) Apply Speeches filter
- Post Trading (72) Apply Post Trading filter
- Fund Management (67) Apply Fund Management filter
- MiFID - Secondary Markets (57) Apply MiFID - Secondary Markets filter
- MiFID - Investor Protection (46) Apply MiFID - Investor Protection filter
- Credit Rating Agencies (36) Apply Credit Rating Agencies filter
- Joint Committee (34) Apply Joint Committee filter
- CCP Directorate (27) Apply CCP Directorate filter
- Innovation and Products (25) Apply Innovation and Products filter
- Corporate Disclosure (23) Apply Corporate Disclosure filter
- Supervisory convergence (22) Apply Supervisory convergence filter
- Benchmarks (18) Apply Benchmarks filter
- Sustainable finance (15) Apply Sustainable finance filter
- Corporate Information (14) Apply Corporate Information filter
- Prospectus (14) Apply Prospectus filter
- Market Integrity (13) Apply Market Integrity filter
- Securitisation (13) Apply Securitisation filter
- Brexit (10) Apply Brexit filter
- Short Selling (10) Apply Short Selling filter
- Trading (10) Apply Trading filter
- Transparency (9) Apply Transparency filter
- Trade Repositories (8) Apply Trade Repositories filter
- Risk Analysis & Economics - Markets Infrastructure Investors (7) Apply Risk Analysis & Economics - Markets Infrastructure Investors filter
- Securities Financing Transactions (6) Apply Securities Financing Transactions filter
- Board of Supervisors (5) Apply Board of Supervisors filter
- IFRS Supervisory Convergence (5) Apply IFRS Supervisory Convergence filter
- Market data (5) Apply Market data filter
- COVID-19 (4) Apply COVID-19 filter
- Guidelines and Technical standards (4) Apply Guidelines and Technical standards filter
- MiFID II: Transparency Calculations and DVC (3) Apply MiFID II: Transparency Calculations and DVC filter
- Crowdfunding (2) Apply Crowdfunding filter
- International cooperation (2) Apply International cooperation filter
- Vacancies (2) Apply Vacancies filter
Type of document
- (-) Remove Consultation Paper filter Consultation Paper
- (-) Remove Speech filter Speech
- (-) Remove Q&A filter Q&A
- Reference (60) Apply Reference filter
- Final Report (22) Apply Final Report filter
- Press Release (14) Apply Press Release filter
- Letter (11) Apply Letter filter
- Report (9) Apply Report filter
- Statement (8) Apply Statement filter
- Opinion (7) Apply Opinion filter
- Guidelines & Recommendations (6) Apply Guidelines & Recommendations filter
- Annual Report (3) Apply Annual Report filter
- Compliance table (3) Apply Compliance table filter
- CESR Document (1) Apply CESR Document filter
- SMSG Advice (1) Apply SMSG Advice filter
- Technical Advice (1) Apply Technical Advice filter
- Technical Standards (1) Apply Technical Standards filter
Your filters
Vacancy X Q&A X Consultation Paper X Speech X Corporate Governance X European Single Electronic Format X Corporate Finance X Market Abuse X
Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 25/02/2021 | ESMA70-155-11890 | Statement CumEx CumCum scandal- Fabrizio Planta | Market Abuse, Market Integrity, Speeches, Trading | Speech | PDF 132.57 KB |
||||
| 09/11/2020 | ESMA31-67-127 | Question and answers on Transparency Directive (TD) | Brexit, Corporate Disclosure, Corporate Finance, Supervisory convergence, Transparency | Q&A | PDF 352.79 KB |
||||
| 23/06/2022 | ESMA70-145-111 | Q&A on the Market Abuse Regulation | Market Abuse, Market Integrity | Q&A | PDF 470.16 KB |
The purpose of this document is to promote common supervisory approaches and practices in the application of MAR and its implementing measures. It does this by providing responses to questions posed by the general public and competent authorities in relation to the practical application of the MAR framework The content of this document is aimed at competent authorities to ensure that in their supervisory activities and their actions are converging along the lines of the responses adopted by ESMA and at helping issuers, investors and other market participants by providing clarity on the content of the market abuse rules, rather than creating an extra layer of requirements. |
|||
| 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 957.9 KB |
||||
| 01/04/2016 | 2016/419 | Q&A Market Abuse Directive | Market Abuse | Q&A | PDF 175.08 KB |
||||
| 19/06/2019 | ESMA74-362-27 | Keynote by ESMA Chair at Eurofiling – European Central Bank conference | European Single Electronic Format | Speech | PDF 250.93 KB |
||||
| 08/06/2015 | 2015/920 | Impact of the Best Practice Principles for Providers of Shareholder Voting Research and Analysis | Corporate Disclosure, Corporate Governance | Consultation Paper | PDF 337.08 KB |
Responding to this Call for Evidence ESMA invites comments on all matters in this paper and in particular on the specific questions presented throughout the paper. Comments are most helpful, if they:a. respond to the question stated;b. indicate the specific question to which they relate; andc. contain a clear rationale. ESMA will consider all comments received by 27 July 2015. All contributions should be submitted online at www.esma.europa.eu under the heading ‘Your input - Consultations’. Publication of responses All contributions received will be published following the close of the Call for Evidence, unless you request otherwise. Please clearly and prominently indicate in your submission any part you do not wish to be publically disclosed. 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 ESMA’s rules on 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 ESMA’s Board of Appeal and the European Ombudsman.Data protection Information on data protection can be found at www.esma.europa.eu under the heading Legal Notice.Who should read this Call for Evidence This Call for Evidence will be of relevance to persons and entities participating in the voting chain, particularly proxy advisors, investors, companies listed in Europe, proxy solicitors and consultants. | |||
| 27/09/2018 | ESMA71-319-83 | Financing Growth in the EU- speech by Verena Ross at the EBS | Corporate Finance, Speeches | Speech | PDF 181.48 KB |
||||
| 14/11/2013 | 2013/1649 | ESMA’s policy orientations on possible implementing measures under the Market Abuse Regulation | Market Abuse, Market Integrity | Consultation Paper | PDF 950.26 KB |
The European Securities and Markets Authority (ESMA) has published a Discussion Paper setting out its initial views on the implementing measures it will have to develop for the new Market Abuse Regulation (MAR). MAR aims to enhance market integrity and investor protection. It will achieve this by updating and strengthening the existing market abuse framework, by extending its scope to new markets and trading strategies, and by introducing new requirements. The Discussion Paper presents positions and regulatory options on those issues where ESMA will have to develop MAR implementing measures, likely to include Regulatory Technical Standards, Delegated Acts and Guidelines. These implementing measures are of fundamental importance to the new regime, as they set out how MAR’s enlarged scope is to be implemented in practice by market participants, trading platforms, investors, issuers and persons related to financial markets. In developing these regulatory options ESMA, where similar requirements already exist under the current Market Abuse Directive (MAD), has taken into consideration the existing MAD Level 2 texts and ESMA/CESR guidelines to set out the DP positions in light of the extended scope of MAR. This Discussion Paper is based on the version of the MAR Level 1 text agreed by the European Parliament, the Council and the European Commission on 24 June 2013. Consultation Reference 2013/1649 Closing date for responses Monday, 27 January 2014 Contact market.integrity[at]esma.europa.eu | |||
| 18/03/2022 | ESMA71-319-210 | ESMA_Speech_Verena_Ross_EACT_Summit | Corporate Finance, Credit Rating Agencies, Speeches, Sustainable finance | Speech | PDF 152.66 KB |
||||
| 25/09/2015 | 2015/1463 | ESMA Consultation Paper on ESEF | Corporate Disclosure, European Single Electronic Format, Transparency | Consultation Paper | PDF 2.34 MB |
||||
| 09/10/2020 | ESM22-103-1158 | ESM22-103-1158 Keynote Speech- Verena Ross- AFME Compliance and Legal Conference | COVID-19, Market Abuse, Market Integrity, MiFID - Secondary Markets, Speeches | Speech | PDF 133.94 KB |
||||
| 22/03/2012 | 2012/212 | Discussion Paper- An Overview of the Proxy Advisory Industry. Considerations on Possible Policy Options | Corporate Disclosure, Corporate Governance | Consultation Paper | PDF 524.85 KB |
This Discussion Paper focuses on the development of the proxy advisory industry in Europe, which mainly serves institutional investors such as asset managers, mutual funds and pension funds. Following its fact-finding work in 2011, ESMA recognises the proxy advisory industry within Europe is, or is expected to be, growing in prominence and investors are, or are expected to be, increasingly using proxy advisor services. In this paper ESMA identifies several key issues related to the proxy advisory market which may have an impact on the proper functioning of the voting process. The range of policy options that ESMA will consider, and on which it seeks further input from market participants, consists of four broad areas, including: 1. No EU-level action at this stage 2. Encouraging Member States and/or industry to develop standards 3. Quasi-binding EU-level regulatory instruments 4. Binding EU-level legislative instruments ESMA will consider these options based on the feedback it receives from market participants, and, if appropriate, will undertake further policy action, either directly or by providing an opinion to the European Commission. The reason to bring up some policy options is due to the fact that proxy advisors are currently not regulated at a pan-European level. Nevertheless, there are relevant European rules that apply to investors (e.g. for UCITS management companies when exercising voting rights). In addition, there are also well-recognised corporate governance standards that apply to issuers at a national level (based on the “comply or explain approach”) and some complements to improve standards of stewardship among investors. All feedback received from this Discussion Paper will be duly considered. ESMA expects to publish a feedback statement in Q4 of 2012 which will summarise the responses received and will state ESMA’s view on whether there is a need for policy action in this area. | |||
| 30/03/2016 | 2016/444 | CP on MAR GL on information on commodities | Market Abuse | Consultation Paper | PDF 486.36 KB |
||||
| 02/11/2006 | 06-562 | Consultation paper- Market Abuse Directive, Level 3 – second set of CESR guidance and information on the common operation of the Directive to the market | Market Abuse | Consultation Paper | PDF 110.17 KB |
||||
| 20/05/2008 | 08-274 | Consultation paper- Market Abuse Directive Level 3 – Third set of CESR guidance and information on the common operation of the Directive to the market | Market Abuse | Consultation Paper | PDF 101.96 KB |
||||
| 03/10/2008 | 08-717 | Consultation paper- MAD Level 3 – Third set of CESR guidance and information on the common operation of the Directive to the market | Market Abuse | Consultation Paper | PDF 88.1 KB |
||||
| 28/10/2004 | 04-505 | Consultation paper- Facilitating the implementation of the Market Abuse Directive | Market Abuse | Consultation Paper | PDF 284.76 KB |
||||
| 15/07/2014 | 2014/809 | Consultation Paper- Draft technical standards on the Market Abuse Regulation (MAR) | Market Abuse | Consultation Paper | PDF 1.64 MB |
ESMA invites comments on all matters in this paper and in particular on the specific questions summarised in Annex 1.Comments are most helpful if they: respond to the question stated; indicate the specific question to which the comment relates; contain a clear rationale; and describe any alternatives ESMA should consider. ESMA will consider all comments received by Wednesday 15 October 2014.All contributions should be submitted online at www.esma.europa.eu under the heading ‘Your input - Consultations’.Publication of responsesAll contributions received will be published following the close of the consultation, unless you request otherwise. Please clearly and prominently indicate in your submission any part you do not wish to be publically disclosed. 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 ESMA’s rules on 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 ESMA’s Board of Appeal and the European Ombudsman.Data protectionInformation on data protection can be found at www.esma.europa.eu under the heading ‘Legal Notice’.Who should read this paper?This paper may be specifically of interest to any investor that deals in financial instruments and emission allowances subject to the Market Abuse Regulation, issuers of instruments in the scope of the Regulation, financial intermediaries, operators of trading venues and participants in the emission allowance market. | |||
| 15/07/2014 | 2014/808 | Consultation Paper- Draft technical advice on possible delegated acts concerning the Market Abuse Regulation (MAR) | Market Abuse | Consultation Paper | PDF 656.69 KB |
The European Securities and Markets Authority (ESMA) invites comments on all matters set out in this consultation paper and, in particular, on the specific questions listed in Annex I. Comments are most helpful if they: indicate the number of the question to which the comment relates; respond to the question stated; contain a clear rationale, including on any related costs and benefits; and describe any alternatives ESMA should consider. Comments should reach us by Wednesday 15 October 2014. All contributions should be submitted online at www.esma.europa.eu under the heading ‘Your input/Consultations’.Publication of responses All contributions received will be published following the end of the consultation period, unless otherwise requested. Please clearly and prominently indicate in your submission any part you do not wish to be publically disclosed. A standard confidentiality statement in an email message will not be treated as a request for non-disclosure. Note also that a confidential response may be requested from us in accordance with ESMA’s rules on access to documents. We may consult you if we receive such a request. Any decision we make is reviewable by ESMA’s Board of Appeal and the European Ombudsman.Data protection Information on data protection can be found at www.esma.europa.eu under the heading ‘Disclaimer’.Who should read this paper?This paper may be specifically of interest to any investor that deals in financial instruments and emission allowances subject to the Market Abuse Regulation, issuers of instruments in the scope of the Regulation, financial intermediaries, operators of trading venues and participants in the emission allowance market. |