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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
20/12/2018 ESMA70-151-1847 Consultation Paper on CSDR GL on Art 6 standardised procedures and messaging protocols Consultation Paper PDF
476.36 KB
20/12/2018 ESMA70-151-1855 Consultation Paper on CSDR Guidelines on settlement fails reporting Consultation Paper PDF
1.19 MB
08/01/2018 ESMA70-151-1013 Consultation Paper on Draft Guidelines on Anti-Procyclicality Margin Measures for CCPs  Consultation Paper PDF
318.1 KB
26/09/2014 2014/1186 Consultation paper on draft RTS on prospectus related issues under the Omnibus II Directive , Consultation Paper PDF
670.42 KB
ESMA invites comments on all matters in this paper and in particular on the specific questions summarised in Annex I. Comments are most helpful if they:•    respond to the question stated;•    indicate the specific question to which they relate;•    contain a clear rationale; and•    describe any alternatives ESMA should consider.ESMA will consider all comments received by 19 December 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 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 protection                      Information on data protection can be found at www.esma.europa.eu under the heading ‘Legal Notice’.Who should read this paper This document will be of interest to all stakeholders. It would primarily be of interest to investors, issuers, offerors or persons asking for admission to trading on a regulated market, as well as to any market participant who is affected by Directive 2003/71/EC of 4 November 2003 (the Prospectus Directive) as amended by Directive 2010/73/EU and Directive 2010/78/EU and its Regulation (Commission Regulation (EC) No 809/2004) and Delegated Regulations (Commission Delegated Regulation (EC) No 486/2012, No 862/2012, No 759/2013 and No 1392/2014.
15/12/2017 ESMA31-62-802 Consultation Paper on draft RTS under the new Prospectus Regulation Consultation Paper PDF
1.45 MB
26/03/2021 ESMA35-36-2201 Consultation Paper on draft technical standards under the ECSP Regulation Consultation Paper PDF
1.24 MB
31/01/2017 ESMA70-708036281-17 Consultation Paper on ESMA’s Guidelines on transfer of data between TRs Consultation Paper PDF
1003.51 KB
29/01/2021 ESMA 80-196-5019 Consultation Paper on Fees Charged to CRAs by ESMA Consultation Paper PDF
345.85 KB
18/12/2014 2014/1565 Consultation paper on Guidelines on Access to a CCP or a Trading Venue by a CSD Consultation Paper PDF
171.8 KB

ESMA invites comments on all matters in this paper and in particular on the specific question included in the paper. Comments are most helpful if they:1.    respond to the question stated;2.    indicate the specific question to which the comment relates;3.    contain a clear rationale; and4.    describe any alternatives ESMA should consider.ESMA will consider all comments received by 19 February 2015. All contributions should be submitted online at www.esma.europa.eu under the heading ‘Your input - Consultations’ using the reply form.

01/06/2017 ESMA70-151-291 Consultation paper on guidelines on CCPs' conflict of interest management Consultation Paper PDF
344.94 KB
10/07/2017 ESMA70-151-457 Consultation paper on guidelines on Internalised Settlement Reporting under Article 9 of CSDR Consultation Paper PDF
414.42 KB
27/05/2019 ESMA70-145-1145 Consultation paper on Guidelines on periodic information and notification of material changes to be submitted to ESMA by Trades Repositories , Consultation Paper PDF
545.53 KB
12/07/2019 ESMA31-62-1239 Consultation Paper on Guidelines on prospectus disclosure Consultation Paper PDF
617.89 KB
05/11/2015 2015/1628 Consultation Paper on indirect clearing under EMIR and MiFIR Consultation Paper PDF
488.22 KB
16/07/2014 2014/845 Consultation Paper on periodic information to be submitted to ESMA by Credit Rating Agencies Consultation Paper PDF
367.99 KB
Summary The European Securities and Markets Authority (ESMA) is consulting on new supervisory guidelines regarding the information that is periodically submitted to ESMA by credit rating agencies. Good quality, relevant and timely data is key to the efficient and effective supervision of the CRA sector and the aim of this consultation paper is to ensure that the information that CRAs are requested to submit supports ESMA's supervisory work in identifying the key risks in the CRA sector. In addition to the periodic reporting to CEREP and SOCRAT, registered CRAs must notify ESMA of changes to their initial conditions for registration and submit periodically to ESMA information in accordance with ESMA’s Guidance on the enforcement practices and activities. CRAs must also submit annually to ESMA information regarding their revenues for the calculation of the supervisory fees and market share. Finally, CRAs submit to ESMA periodically other information that is used for on-going supervisory purposes. The guidelines are proposed under Article 16 of EU No 1095/2010 of the European Parliament and of the Council of 24 November 2010, which enables ESMA to publish guidelines addressed to financial market participants with a view to establishing consistent, efficient and effective supervisory practices. These proposed guidelines will replace CESR’s Guidance on the enforcement practices and activities to be conducted under Article 21.3(a) of the Regulation (ESMA/2010/944) of 30 August 2010. The consultation paper should be by read by credit rating agencies (as defined in Article 3(1)(b) of the CRA Regulation), companies which have applied for registration or are considering applying for registration, competent authorities, and consumer groups. An open hearing on the issues contained in this paper will be held on 15 October 2014. The closing date for comments is 31 October 2014.
17/11/2017 ESMA70-151-819 Consultation paper on position calculation under EMIR Consultation Paper PDF
1.41 MB
18/12/2014 2014/1564 Consultation paper on Technical Advice under the CSD Regulation Consultation Paper PDF
488 KB

ESMA invites comments on all matters in this paper and in particular on the specific question included in the paper. Comments are most helpful if they:1.    respond to the question stated;2.    indicate the specific question to which the comment relates;3.    contain a clear rationale; and4.    describe any alternatives ESMA should consider.ESMA will consider all comments received by 19 February 2015. All contributions should be submitted online at www.esma.europa.eu under the heading ‘Your input - Consultations’ using the reply form.

18/12/2014 2014/1563 Consultation paper on Technical Standards under the CSD Regulation Consultation Paper PDF
2.5 MB

ESMA invites comments on all matters in this paper and in particular on the specific question included in the paper. Comments are most helpful if they:1.    respond to the question stated;2.    indicate the specific question to which the comment relates;3.    contain a clear rationale; and4.    describe any alternatives ESMA should consider.ESMA will consider all comments received by 19 February 2015. All contributions should be submitted online at www.esma.europa.eu under the heading ‘Your input - Consultations’ using the reply form.

13/07/2016 2016/1125 Consultation Paper on the clearing obligation for financial counterparties with a limited volume of activity Consultation Paper PDF
738.84 KB
09/07/2021 ESMA70-156-4454 Consultation paper on the CO and DTO for swaps referencing RFRs Consultation Paper PDF
927.18 KB