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Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 11/03/2016 | 2016/356 | Discussion paper- Draft RTS and ITS under SFTR | Post Trading | Consultation Paper | PDF 1.93 MB |
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| 22/03/2012 | 2012/212 | Discussion Paper- An Overview of the Proxy Advisory Industry. Considerations on Possible Policy Options | Corporate Disclosure, Corporate Governance | Consultation Paper | PDF 524.85 KB |
This Discussion Paper focuses on the development of the proxy advisory industry in Europe, which mainly serves institutional investors such as asset managers, mutual funds and pension funds. Following its fact-finding work in 2011, ESMA recognises the proxy advisory industry within Europe is, or is expected to be, growing in prominence and investors are, or are expected to be, increasingly using proxy advisor services. In this paper ESMA identifies several key issues related to the proxy advisory market which may have an impact on the proper functioning of the voting process. The range of policy options that ESMA will consider, and on which it seeks further input from market participants, consists of four broad areas, including: 1. No EU-level action at this stage 2. Encouraging Member States and/or industry to develop standards 3. Quasi-binding EU-level regulatory instruments 4. Binding EU-level legislative instruments ESMA will consider these options based on the feedback it receives from market participants, and, if appropriate, will undertake further policy action, either directly or by providing an opinion to the European Commission. The reason to bring up some policy options is due to the fact that proxy advisors are currently not regulated at a pan-European level. Nevertheless, there are relevant European rules that apply to investors (e.g. for UCITS management companies when exercising voting rights). In addition, there are also well-recognised corporate governance standards that apply to issuers at a national level (based on the “comply or explain approach”) and some complements to improve standards of stewardship among investors. All feedback received from this Discussion Paper will be duly considered. ESMA expects to publish a feedback statement in Q4 of 2012 which will summarise the responses received and will state ESMA’s view on whether there is a need for policy action in this area. | |||
| 27/08/2015 | 2015/1295 | Discussion Paper on the review of Article 26 of RTS 153-2013 | Post Trading | Consultation Paper | PDF 266.36 KB |
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| 02/06/2016 | 2016/773 | Discussion Paper on the Distributed Ledger Technology Applied to Securities Markets | Innovation and Products, Risk Analysis & Economics - Markets Infrastructure Investors | Consultation Paper | PDF 573.86 KB |
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| 28/05/2019 | ESMA70-151-2138 | CP TA on tiering criteria | Post Trading | Consultation Paper | PDF 651.52 KB |
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| 23/12/2020 | ESMA43-370-274 | CP TA on rules of procedure to impose penalties on DRSPs | Post Trading | Consultation Paper | PDF 361.39 KB |
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| 28/05/2019 | ESMA70-151-2179 | CP TA on comparable compliance | Post Trading | Consultation Paper | PDF 1.35 MB |
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| 27/03/2020 | ESMA74-362-47 | CP on the TS on reporting data quality data access and registration of TRs under EMIR REFIT | Post Trading, Supervisory convergence, Trade Repositories | Consultation Paper | PDF 2.66 MB |
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| 24/09/2020 | ESMA74-362-773 | CP on MiFID II MiFIR review report | Benchmarks, MiFID - Secondary Markets, MiFID II: Transparency Calculations and DVC, Post Trading | Consultation Paper | PDF 688.1 KB |
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| 28/05/2019 | ESMA70-151-1663 | CP on EMIR_2_2_CCP fees | Post Trading | Consultation Paper | PDF 1.05 MB |
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| 20/11/2020 | ESMA74-362-837 | CP on DRSP fees | Post Trading, Supervisory convergence, Trading | Consultation Paper | PDF 526.22 KB |
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| 20/11/2020 | ESMA74-362-932 | CP on DRSP criteria for derogation | Post Trading, Supervisory convergence, Trading | Consultation Paper | PDF 384.54 KB |
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| 26/03/2020 | ESMA70-151-2852 | Consultation Report PTRR Services- Article 85(3a) of EMIR | Post Trading, Supervisory convergence | Consultation Paper | PDF 537.27 KB |
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| 15/12/2016 | 2016/1661 | Consultation Paper- Draft technical standards on data to be made publicly available by TRs under Article 81 of EMIR | Post Trading | Consultation Paper | PDF 740.22 KB |
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| 13/07/2016 | 2016/1125 | Consultation Paper on the clearing obligation for financial counterparties with a limited volume of activity | Post Trading | Consultation Paper | PDF 738.84 KB |
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| 18/12/2014 | 2014/1563 | Consultation paper on Technical Standards under the CSD Regulation | Post Trading | 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. |
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| 18/12/2014 | 2014/1564 | Consultation paper on Technical Advice under the CSD Regulation | Post Trading | 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. |
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| 17/11/2017 | ESMA70-151-819 | Consultation paper on position calculation under EMIR | Post Trading | Consultation Paper | PDF 1.41 MB |
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| 05/11/2015 | 2015/1628 | Consultation Paper on indirect clearing under EMIR and MiFIR | Post Trading | Consultation Paper | PDF 488.22 KB |
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| 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 | Market Integrity, Post Trading | Consultation Paper | PDF 545.53 KB |