ESMA LIBRARY
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Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 03/09/2014 | 2014/SMSG/35 | SMSG advice- Investor Protection Aspects of the Consultation Paper on MiFID II and MiFIR | Securities and Markets Stakeholder Group | SMSG Advice | PDF 442.89 KB |
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| 03/09/2014 | 2014/SMSG/36 | SMSG advice- Trading Venues Aspects of the Consultation Paper on MiFID II and MiFIR | Securities and Markets Stakeholder Group | SMSG Advice | PDF 193.74 KB |
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| 03/09/2014 | 2014/SMSG/37 | SMSG advice- Transparency and trading obligations (equities) aspects of the Consultation Paper and Discussion Paper on MiFID II/MiFIR | Securities and Markets Stakeholder Group | SMSG Advice | PDF 197.86 KB |
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| 03/09/2014 | 2014/SMSG/38 | SMSG advice- Transparency for the trading of non-equity instruments | Securities and Markets Stakeholder Group | SMSG Advice | PDF 112.76 KB |
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| 28/10/2014 | 2014/SMSG/42 | SMSG advice- Data publication | Securities and Markets Stakeholder Group | SMSG Advice | PDF 633.88 KB |
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| 13/10/2014 | 2014/SMSG/47 | SMSG advice- Response to ESMA’s Consultation Paper on concerning the Market Abuse Regulation | Securities and Markets Stakeholder Group | SMSG Advice | PDF 225.37 KB |
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| 11/12/2014 | 2014/SMSG/51 | SMSG advice- EuSEF/EuVECA | Securities and Markets Stakeholder Group | SMSG Advice | PDF 112.66 KB |
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| 03/02/2015 | 2015/224 | ESMA’s technical advice on possible delegated acts concerning the Market Abuse Regulation | Market Abuse | Technical Advice | PDF 1021.03 KB |
This advice:• specifies the MAR market manipulation indicators, by providing examples of practices that may constitute market manipulation as well as proposing “additional” indicators of market manipulation; • recommends to set the minimum thresholds that exempt certain market participants in the emission allowance market from publicly disclosing inside information at six million tonnes of CO2eq per year and at 2,430 MW rated thermal input;• suggests the way to determine to which regulator delays in disclosure of inside information needs to be notified. • provides clarifications on the enhanced disclosure of managers’ transactions. - ESMA recommends disclosing any acquisition, disposal, subscription or exchange of financial instruments of the relevant issuer or related financial instruments carried out by managers,, further illustrated through a non-exhaustive list of types of transactions subject to this obligation. . ESMA also clarifies the transactions that can be allowed by the issuer during a closed period when normally managers are prohibited to trade; and• proposes procedures and arrangements to ensure sound whistleblowing infrastructures – i.e. EU national regulators should allow the receipt of reports of infringements, including appropriate communication channels and guarantee the protection of reporting and reported persons, with respect to their identity and their personal data. Next steps ESMA has sent its technical advice to the European Commission for its consideration in drafting its implementing standards regarding MAR. ESMA’s regulatory technical standards regarding MAR will be delivered in July 2015. | |||
| 22/01/2015 | 2015/SMSG/003 | SMSG Response to ESMA’s Consultation Paper on Draft Regulatory Technical Standards on prospectus related issues under the Omnibus II Directive | Securities and Markets Stakeholder Group | SMSG Advice | PDF 286.08 KB |
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| 20/02/2015 | 2015/SMSG/005 | SMSG advice paper on PRIIPS | Securities and Markets Stakeholder Group | SMSG Advice | PDF 362.86 KB |
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| 03/03/2015 | 2015/SMSG/011 | SMSG Advice – The Use of Credit Ratings by Financial Intermediaries Article 5(a) of the CRA Regulation | Securities and Markets Stakeholder Group | SMSG Advice | PDF 219.99 KB |
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| 27/03/2015 | 2015/SMSG/016 | SMSG Advice on cross-selling | Securities and Markets Stakeholder Group | SMSG Advice | PDF 92.49 KB |
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| 19/05/2015 | 2015/SMSG/017 PART I | SMSG Contribution to the Green Paper on CMU- PART I | Securities and Markets Stakeholder Group | SMSG Advice | PDF 274.66 KB |
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| 19/05/2015 | 2015/SMSG/017 PART II | SMSG Contribution to the Green Paper on CMU- PART II | Securities and Markets Stakeholder Group | SMSG Advice | PDF 384.44 KB |
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| 19/05/2015 | 2015/SMSG/017 PART III | SMSG Contribution to the Green Paper on CMU- PART III | Securities and Markets Stakeholder Group | SMSG Advice | PDF 470.85 KB |
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| 18/09/2015 | 2015/SMSG/023 | SMSG reply to the ESAs_PRIIPS_Key information document PRIIPs_final | Securities and Markets Stakeholder Group | SMSG Advice | PDF 662.2 KB |
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| 29/09/2015 | 2015/SMSG/025 | SMSG Position Paper MAR | Securities and Markets Stakeholder Group | SMSG Advice | PDF 158.23 KB |
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| 18/09/2015 | 2015/SMSG/026 | Advice on Proxy advisors | Securities and Markets Stakeholder Group | SMSG Advice | PDF 206.54 KB |
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| 18/02/2016 | 2015/SMSG/036 | SMSG Advice on ESEF | European Single Electronic Format, Securities and Markets Stakeholder Group | SMSG Advice | PDF 109.63 KB |
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| 24/07/2015 | 2015/SMSG/20 | SMSG Advice on Assessment of Knowledge and Competence in the Context of MiFID II | Securities and Markets Stakeholder Group | SMSG Advice | PDF 362.66 KB |