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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||MiFID - Investor Protection||Reference||PDF
|10/12/2012||ESMA SSR Review mandate||Formal request to ESMA for technical advice on the evalutation of the short selling regulation||Short Selling||Reference||PDF
|19/10/2012||2012/682||Guide to investing||MiFID - Investor Protection, Warnings and publications for investors||Reference||PDF
|17/03/2017||esma35-30-479||IPISC CWG Application form 2017||MiFID - Investor Protection||Reference||DOCX
|18/05/2018||ESMA35-30-643||IPISC Terms of Reference||MiFID - Investor Protection||Reference||PDF
|06/01/2020||ESMA74-362-388||LEI statement SFTR||Securities Financing Transactions||Reference||PDF
|19/10/2012||2012/680||Links to national websites for the purpose of the notification of net short positions||Short Selling||Reference||PDF
|24/01/2019||ESMA50-164-770||Links to national websites where net short positions in shares are disclosed||Short Selling||Reference||PDF
|23/08/2018||ESMA50-164-772||Links to the national websites explaining the procedures for notifications of net short positions||Short Selling||Reference||PDF
|27/03/2020||Market makers - pdf||Market makers and authorised primary dealers who are using the exemption under the SSR- PDF||Short Selling||Reference||PDF
|27/03/2020||Market makers - XLS||Market makers and authorised primary dealers who are using the exemption under the SSR- XLS||Short Selling||Reference||XLSX
|30/09/2016||2016/1414||Methodological Framework- Model Written Arrangements for Benchmark Colleges||Benchmarks||Reference||PDF
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||MiFID - Investor Protection||Reference||PDF
|13/11/2018||ESMA35-43-1206||MiFID II Supervisory Briefing on Suitability||MiFID - Investor Protection||Reference||PDF
|11/02/2019||ESMA35-43-1493||MiFID II supervisory briefing on the use of third-country branches by EU firms||Brexit, MiFID - Investor Protection, Supervisory convergence||Reference||PDF
|01/02/2016||2016/200||MiFID registers- information about web service||Short Selling, MiFID - Secondary Markets||Reference||PDF
This document sets out the web service for the following registers:
Shares admitted to trading on regulation markets
Multilateral trading facilities
|19/12/2012||2012/850||MiFID supervisory briefing- Suitability||MiFID - Investor Protection||Reference||PDF
|31/10/2018||Net short thresholds||Net short position notification thresholds for sovereign issuers||Short Selling||Reference||XLSX
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:
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||MiFID - Investor Protection, MiFID - Secondary Markets||Reference||PDF
|01/06/2018||ESMA35-43-1135||Notice of ESMA's Product Intervention Decisions on CFDs and binary options||MiFID - Investor Protection, Warnings and publications for investors||Reference||PDF