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| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 07/02/2001 | 01-007 | Press release- FESCO consultative paper on the "Harmonisation of Core Conduct of Business Rules for Investors Protection" | CESR Archive, Press Releases | Press Release | PDF 38.02 KB |
FESCO agrees to start a consultation on a new paper on "the Harmonisation of Core Conduct of Business Rules for Investors Protection" (ref. FESCO/00-124b). This paper complements the paper adopted in March 2000 on the categorisation of investors for the purpose of conduct of business rules. The elaboration of these documents is a significant contribution to the EU Action Plan for Financial Services. The document is open to public consultation for a period of 3 months. |
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| 17/12/2001 | 01-007c | Public Statement of Consultation Practices | CESR Archive | Press Release | PDF 52.27 KB |
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| 18/10/2001 | 01-013b | The harmonization of conduct of business rules | CESR Archive | Consultation Paper | PDF 245.75 KB |
CESR has issued its revised proposals for the harmonization of conduct of business rules. The second round of public consultation covers the following documents: the revised proposal for the investor protection regimes (Ref.CESR/01-014),and the revised paper on the categorisation of investors (Ref.CESR/01-015.). The process of revision of the initial proposals and an explanation of major changes has been given in a cover-note (Ref. CESR/01-013).Please send your responses to the secretariat by November 15, 2001 at fdemarigny@europefesco.org. | |||
| 09/04/2002 | 01-014d | A European Regime of Investor Protection – The Harmonisation of Conduct of Business Rules | CESR Archive | CESR Document | PDF 133.19 KB |
This set of Standards and Rules provides harmonised core conduct of business rules for retail investors in the following areas: Standards and Rules of general application, information to be provided to customers, the "know your customer" standards and the duty of care, customers agreements, dealing requirements (including the "best execution" standards) and individual discretionary portfolio management. The profesional and counterparty regime, including the categorisation of investors paper, requires further work by CESR. | |||
| 18/10/2001 | 01-019 | Press release- The harmonisation of conduct of business rules | CESR Archive | Press Release | PDF 27.85 KB |
CESR has issued its revised proposals for the harmonization of conduct of business rules. The second round of public consultation covers the following documents: the revised proposal for the investor protection regimes (Ref. CESR/01-014),and the revised paper on the categorisation of investors (Ref. CESR/01-015.). The process of revision of the initial proposals and an explanation of major changes has been given in a cover-note (Ref. CESR/01-013). Please send your responses to the secretariat by November 15, 2001 at fdemarigny@europefesco.org. " | |||
| 25/10/2001 | 01-021b | Press release- Joint work between the CESR and the ECB on securities clearing and settlement systems | CESR Archive | Press Release | PDF 32.03 KB |
The Governing Council of the Committee of European Securities Regulators (CESR) and the European Central Bank (ECB) agreed to conduct joint work issues of common interest in the field of securities clearing and settlement systems. This process will lead to the establishment of standards and/or recommendations for securities settlement systems and for central counterparties at the European level. Prof. Eddy Wymeersch, Chairman of the Belgian Commission Bancaire et Financi | |||
| 11/06/2001 | 01-035b | Consultative Paper on Proposed Standards for Alternative Trading Systems | CESR Archive | Consultation Paper | PDF 104.9 KB |
Fesco consults on a proposal for common European standards for Alternative Trading Sytems (ATS's) with the view to providing appropriate regulation under the Instrument Services Directive (ISD) of instruments firms operating ATS\'s. These proposals have been prepared by an expert group chaired by Howard Davies, Chairman of the UK FSA. Responses to the questions posed in the paper, as well as any general comment, are welcomed by end of August 2001. | |||
| 01/06/2001 | 01-037b | Second Consultation Paper "Stabilisation and Allotment- an European supervisory Approach" | CESR Archive | Consultation Paper | PDF 75.56 KB |
Fesco consults on a revised version of the earlier consulation paper published in September 2000. The purpose of the paper is to offer substantial harmonisation of key elements of the offering process. The paper has been prepared by an expert group chaired by Kaarlo J | |||
| 01/08/2001 | 01-045fusion | A "European Passeport" for issuers: An additional submission to the European Commission on the issue raised in paragraph 18 of the FESCO report of 20 December 2000 (Ref. Fesco/00-138b) | CESR Archive | Final Report | PDF 223.73 KB |
The last FESCO paper on a "European Passeport" for issuer, stated that in a member of areas, further work needed to be undetaken. FESCO has considered some of these issues and is now submitting for comment the following paper regarding disclosure requiremnents for products different from shares and ordinary bonds, the offer and a proposal on the content of the Pro Forma and the other financial information to be included in the propesctus. This complementary document is not intended to pre-empt any work to be undertaken by the Committee of European Securities Regulators in relation to the proposed directive on prospectuses. Rather this paper aims to complete aspects of the FESCO first paper and inform the subsequent work by the Committee. All comments received will be forwarded to the European Commission, unless respondent state otherwise. | |||
| 18/12/2001 | 01-048 | Press release- Results of the Second Meeting of CESR | CESR Archive | Press Release | PDF 96.8 KB |
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| 19/06/2001 | 01-095 | Press release- Agreement on the Charter of the Committee of European Securities Regulators | CESR Archive | Press Release | PDF 33.92 KB |
Following the conclusions of the Lamffalussy report, the Resolutions of the European Parliament, and the recent Decision of the European Commission, the members of FESCO have agreed on a draft charter defining the operational arrangements of the Committee Securities Regulators. The Charter is attached to the Press Release. | |||
| 11/06/2001 | 01-097 | Press release- FESCO consults on the regulation of Alternative Trading Systems (ATS) | CESR Archive | Press Release | PDF 17.18 KB |
Fesco consults on a proposal for common European standards for Alternative Trading Systems (ATS) with the view to providing appropriate regulation under the Instrument Service Directive (ISD) of instrument firms operating ATSs. | |||
| 11/06/2001 | 01-103 | Press release- FESCO consults on the regulation of Primary market practices- Stabilisation and Allotment | CESR Archive | Press Release | PDF 16.25 KB |
Fesco consults on a revised version of the earlier consultation paper published in September 2000. The purpose of the paper is to offer substancial harmonisation of key elements of the offering process. | |||
| 04/10/2001 | 01-967bfusion | Press release- CESR presents its consultation policy | CESR Archive | Press Release | PDF 53.08 KB |
CESR has issued its draft statement of Consultation Practices (Ref. CESR/01-007b). The statement contains a number of specific commitments relating to who, when and how it will consult. It will contribute to raise transparency in the regulation of European securities markets. The draft Statement is attached to the press release. Please send your responses to the secretariat by November 16, 2001 at fdemarigny@europefesco.org. | |||
| 14/01/2002 | 02-001 | Proposed Standards for Alternative Trading Systems- Paper for final consultation | CESR Archive | Consultation Paper | PDF 114.08 KB |
This paper sets out proposed standards for ATSs in the EEA with a view to providing appropriate regulation under the ISD of investment firms operating ATSs. CESR has decided to issue the proposed standards for a second round of consultation in response to the important issues raised by respondents to the first consultation paper issued in June 2001. A feedback statement summarizing the responses received is also published in the section "Recent publications" (Ref. CESR/02-002). CESR invites responses to this final round of consultation by March 15, 2002. | |||
| 14/01/2002 | 02-002 | Proposed Standards for Alternative Trading Systems- Feedback statement | CESR Archive | CESR Document | PDF 419.83 KB |
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| 14/01/2002 | 02-003 | Press release- Final round of consultation on Standards for ATSs | CESR Archive | Press Release | PDF 56.63 KB |
CESR published today, for a last round of consultation, revised proposals for common European standards for Alternative Trading Systems (ATSs) (Ref. CESR/02-001) in response to the important issues raised by respondents to the first consultation paper issued in June 2001. A feedback Statement summarising the responses received is also published (Ref. CESR/02-002) (See "Recent publications"). CESR invites comments to this second round of consultation by March 15, 2002. CESR intends to finalise the standards thereafter, with the aim of publishing final standards in June 2002. | |||
| 15/03/2002 | 02-005b | Joint work of the European System of Central Banks and the Committee of European Securities Regulators in the field of Clearing and Settlement | CESR Archive | Consultation Paper | PDF 46.78 KB |
The joint work between CESR and the ESCB covers the possible adaptation of the IOSCO/CPSS recommendation to European environnment, an analysis of central counterparties clearing (CCPs) activities in Europe with a view to identifying a suitable regulatory approach and a review of the Giovannini report. At this stage of its work, the joint expert group is particularly interested in receiving views from all interested parties on these matters. Contributions should ideally be received before 6 May 2002. | |||
| 01/02/2002 | 02-007b | Measures to promote Market Integrity (Ref. CESR/01-052h) and Compilation of responses to the national consultation | CESR Archive | Final Report | PDF 373.97 KB |
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| 09/04/2002 | 02-020b | Stabilisation and Allotment – European Supervisory Approach | CESR Archive | CESR Document | PDF 93.51 KB |
This paper provides harmonised standards for stabilisation practices in the context of a public offer and an harmonised disclosure regime for the Allotment of securities as well as some basic principles of the Allotment process. This work has not been elaborated under a formal mandate of the EU Commission in the context of the future Directives on Insider Dealing and Market Manipulation or the future Directive on Prospectuses. However, these standards represent an important "acquis" for any future work to be undertaken on the same subject. A summary of the responses to the second consultation (Ref. CESR/02-060) is published in the "Recent Publications". |