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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
16/11/2011 2011/383 Letter to Jonathan Faull- ESMA's response to the European Commission's provisional request to CESR/ESMA for technical advice on possible Level 2 measures concerningthe Directive for Alternative Investment Fund Managers (AIFM) Letter PDF
41.73 KB
16/11/2011 2011/384 Letter to Sharon Bowles- ESMA's response to the European Commission's provisional request to CESR/ESMA for technical advice on possible Level 2 measures concerningthe Directive for Alternative Investment Fund Managers (AIFM) Letter PDF
200.77 KB
20/01/2011 2011/4 Letter to the CFTC- Rulemakings on Registration of foreign Swap Data Repositories and Foreign Boards of Trade Letter PDF
34.38 KB
09/12/2011 2011/431 Global regulators discuss OTC derivatives regulation , Press Release PDF
18.94 KB
Leaders and senior representatives of the authorities responsible for the regulation of the over-the-counter (OTC) derivatives markets in Canada, the European Union, Hong Kong, Japan, Singapore and the United Statesmet met yesterday in Paris.  
22/12/2011 2011/445 Consultation paper on guidelines on certain aspects of the MiFID suitability requirements Consultation Paper PDF
355.06 KB
22/12/2011 2011/446 Consultation paper on guidelines on certain aspects of the MiFID compliance function requirements Consultation Paper PDF
393.94 KB
22/12/2011 2011/456 Final report- Guidelines on systems and controls in an automated trading environment for trading platforms, investment firms and competent authorities Guidelines & Recommendations PDF
407 KB

This is the final report. The guidelines along with the translations are published separately.

22/12/2011 2011/457 ESMA outlines future automated trading regime for trading platforms, investment firms and competent authorities , Press Release PDF
151.9 KB
21/02/2012 2012/113 Questions and Answers- A Common Definition of European Money Market Funds- updated February 2012 Q&A PDF
83.79 KB
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.
23/02/2012 2012/117 Discussion paper on Key concepts of the Alternative Investment Fund Managers Directive and types of AIFM Consultation Paper PDF
359.52 KB
This document will be of interest to asset management companies and trade associations of asset management companies managing funds falling in the scope of the Alternative Investment Fund Managers Directive. Responses to this discussion paper will help ESMA in finalising its policy approach. In light of the feedback received, ESMA will develop a consultation paper in Q2 2012 setting out formal proposals for draft regulatory technical standards on Article 4(4) of the AIFMD. The results of that public consultation will be used by ESMA in finalising the draft regulatory technical standards to be submitted to the European Commission for endorsement by the end of 2012. 
24/02/2012 2012/122 Guidelines- Systems and controls in an automated trading environment for trading platforms, investment firms and competent authorities , Guidelines & Recommendations PDF
1006.44 KB

ESMA Board of Supervisors (the BoS) has decided on the 26 September 2018 to withdraw the guidelines on “Systems and controls in an automated trading environment for trading platforms, investment firms and competent authorities”. The guidelines were issued by ESMA, in February 2012, to ensure a common, uniform and consistent application of MiFID and MAD. The BoS decision to withdraw the guidelines is based on the subject matter being fully incorporated into MiFID II, MAR, and relevant delegated acts.

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24/02/2012 2012/128 ESMA readies guidelines on automated trading – application deadline starts , Press Release PDF
167.16 KB
ESMA today publishes the official translations of its final “Guidelines on systems and controls in an automated trading environment for trading platforms, investment firms and competent authorities” (ESMA/2011/456), first published on 21 December 2011. High Frequency Trading (HFT) is one form of automated trading.   By having translated the guidelines into all the official languages of the EU, today’s publication triggers a transitional period of two months within which national supervisors have to declare whether they intend to comply with the guidelines or otherwise explain the reasons for non-compliance which would be made public by ESMA. According to the ESMA Regulation national supervisors have to make every effort to comply with the Guidelines.
28/03/2012 2012/197 Guidelines on risk measurement and the calculation of global exposure for certain types of structured UCITS , Guidelines & Recommendations PDF
269.27 KB
To access the translations, please use the links on the left.
28/03/2012 2012/197 bg Насоки относно измерване на риска и изчисляването на глобалния риск за някои видове структурирани ПКИПЦК , Guidelines & Recommendations PDF
281.24 KB
28/03/2012 2012/197 cz Pokyny k měření rizik a výpočtu otevřené pozice pro určité typy strukturovaných SKIPCP , Guidelines & Recommendations PDF
269.01 KB
28/03/2012 2012/197 de Leitlinien zur Risikomessung und zur Berechnung des Gesamtrisikos für bestimmte Arten strukturierter OGAW , Guidelines & Recommendations PDF
271.45 KB
28/03/2012 2012/197 dk Retningslinjer om risikoberegning og beregning af samlet eksponering for visse typer af strukturerede investeringsinstitutter UCITS , Guidelines & Recommendations PDF
275.1 KB
28/03/2012 2012/197 ee Teatud liiki struktureeritud eurofondide riskide mõõtmise ja üldriski arvutamise suunised , Guidelines & Recommendations PDF
256.21 KB
28/03/2012 2012/197 el Κατευθυντήριες γραμμές για τη μέτρηση του κινδύνου και τον υπολογισμό της συνολικής έκθεσης ορισμένων τύπων δομημένων ΟΣΕΚΑ σε κινδύνους , Guidelines & Recommendations PDF
275.24 KB
28/03/2012 2012/197 es Directrices sobre medición de riesgos y estimación de la exposición global de ciertos tipos de OICVM estructuradas , Guidelines & Recommendations PDF
267.49 KB