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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
27/03/2018 ESMA71-98-125 FAQ ESMA's product intervention measures in relation to CFDs and binary options offered to retail investors Reference PDF
389.95 KB
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10/12/2012 ESMA SSR Review mandate Formal request to ESMA for technical advice on the evalutation of the short selling regulation Reference PDF
34.44 KB
19/10/2012 2012/682 Guide to investing , Reference PDF
569.39 KB
17/03/2017 esma35-30-479 IPISC CWG Application form 2017 Reference DOCX
211.55 KB
18/05/2018 ESMA35-30-643 IPISC Terms of Reference Reference PDF
152.35 KB
06/01/2020 ESMA74-362-388 LEI statement SFTR Reference PDF
105.88 KB
19/10/2012 2012/680 Links to national websites for the purpose of the notification of net short positions Reference PDF
84.12 KB
24/01/2019 ESMA50-164-770 Links to national websites where net short positions in shares are disclosed Reference PDF
80.26 KB
23/08/2018 ESMA50-164-772 Links to the national websites explaining the procedures for notifications of net short positions Reference PDF
227 KB
27/03/2020 Market makers - pdf Market makers and authorised primary dealers who are using the exemption under the SSR- PDF Reference PDF
444.38 KB
27/03/2020 Market makers - XLS Market makers and authorised primary dealers who are using the exemption under the SSR- XLS Reference XLSX
44.22 KB
30/09/2016 2016/1414 Methodological Framework- Model Written Arrangements for Benchmark Colleges Reference PDF
272.57 KB

Article 46 of the Regulation (EU) No 2016/1011 of the European Parliament and of the Council of 8 June 2016 on indices used as benchmarks in financial instruments and financial contracts or to measure the performance of investment funds (Regulation) provides that the competent authority of an administrator of a critical benchmark that is referred to in points (a) and (c) of Article 20(1) of the Regulation shall establish a college.

ESMA will be a member of every college and according to Article 46(7) of the Regulation may give advice concerning the written arrangements. To promote the convergent operation of benchmark colleges, ESMA has developed model written arrangements that may be used by administrators of critical benchmarks according to Article 46(6) of the Regulation.

04/04/2019 ESMA35-36-1640 MiFID II Supervisory Briefing on Appropriateness Reference PDF
326.68 KB
13/11/2018 ESMA35-43-1206 MiFID II Supervisory Briefing on Suitability Reference PDF
557.16 KB
11/02/2019 ESMA35-43-1493 MiFID II supervisory briefing on the use of third-country branches by EU firms , , Reference PDF
469.29 KB
01/02/2016 2016/200 MiFID registers- information about web service , Reference PDF
311.04 KB

This document sets out the web service for the following registers:

Shares admitted to trading on regulation markets

Exempted shares

Systematic internalisers

Regulated Markets

Multilateral trading facilities

Central counterparties

19/12/2012 2012/850 MiFID supervisory briefing- Suitability Reference PDF
238 KB
31/10/2018 Net short thresholds Net short position notification thresholds for sovereign issuers Reference XLSX
27.31 KB

According to Article 7(2) of the Short Selling Regulation, ESMA has to publish a list of the thresholds applicable to the sovereign issuers for the purpose of the notification to competent authorities of significant net short position in sovereign debt.

The way these notification thresholds are defined is further specified in the Commission Delegated Regulation No 918/2012 (the “DR”). The DR specifies that initial threshold categories shall be:
1.0.1% applicable where the total amount of outstanding issued sovereign debt is between 0 and 500 billion euros;
2.0.5% applicable where the total amount of outstanding issued sovereign debt is above 500 billion euros or where there is a liquid futures market for the particular sovereign debt.

The additional incremental levels shall be set at 50% of the initial thresholds. The reporting thresholds shall be monetary amounts fixed by applying the percentage thresholds to the outstanding sovereign debt of the sovereign issuer. They will be revised and updated quarterly to reflect changes in the total amount of outstanding sovereign debt of each sovereign issuer.

In addition, the DR states that the amount of outstanding debt should be calculated using a duration adjusted approach. ESMA has published a Q&A document on how to proceed for the duration adjustment.

The table of thresholds contains the name of the sovereign issuer, the amount of outstanding debt duration adjusted, the initial threshold amount and the relevant percentage, the incremental threshold amount and the relevant percentage.

Please note that the figures of the amount of outstanding debt are duration adjusted (not nominal amounts) and are approximations provided by competent authorities.

17/11/2015 2015/1514 Note on MiFID-MiFIR implementation delays , Reference PDF
131.7 KB
01/06/2018 ESMA35-43-1135 Notice of ESMA's Product Intervention Decisions on CFDs and binary options , Reference PDF
241.42 KB
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