ESMA LIBRARY

The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
557
DOCUMENTS

REFINE YOUR SEARCH

Sections

Type of document

Your filters
MiFID - Secondary Markets X Short Selling X Audit X Speeches X Planning reporting budget X Vacancies X
Reset all filters
Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
24/05/2012 2012/328 Keynote speech at the ICMA conference- Verena Ross Speech PDF
135.46 KB
Verena Ross, Executive Director of ESMA, today gave the keynote address at the ICMA conference in Milan
13/06/2012 2012/367 The role of ESMA in European and international regulatory cooperation Speech PDF
161.62 KB
Speech by Verena Ross, Executive Director of ESMA, given on 12 June 2012 at the International Council of Securities Associations in Copenhagen
20/06/2012 2012/378 Operation of notifications of MiFID Article 41 suspensions and removals of financial instruments from trading Reference PDF
353.3 KB
This protocol has been created to ensure effective co-operation between Competent Authorities (CAs) with respect to their obligations under Article 41 of MiFID (Suspension and removal of in-struments from trading).The purpose of the notification obligations under Article 41 is to afford investors across all Mem-ber States the same level of protection regardless of where they trade. In order to achieve this outcome, a shared understanding of the different circumstances under which trading may be suspended in different Member States according to their national law and the expected course of action under Article 41 is helpful. To ensure trading is suspended or an instrument is removed from trading in an effective and timely way, an effective communication process is necessary.The protocol will be kept under review in light of practical experience.
05/07/2012 2012/425 Keynote address of Steven Maijoor, Chair of ESMA at the Europlace Financial Forum Speech PDF
126.48 KB
Steven Maijoor delivered the key note speech at the Europlace Financial Forum in Paris on 4 July 2012.
25/07/2012 2012/478 ESMA MiFID database- description of webservice Reference PDF
123.71 KB
This document provides useful information for developers wanting to use the webservice provided in ESMA's MIFID databases.
30/08/2012 2012/537 STATEMENT- Short Selling Regulation Update: Market Maker & Primary Dealer Exemption Notification Procedure , , Statement PDF
77.92 KB
The European Securities and Markets Authority (ESMA) is publishing this notice to alert financial market participants to its upcoming consultation on the market making and authorised primary dealer exemption under the EU’s Short Selling Regulation (SSR) and the procedure to be followed by firms and regulators in dealing with notifications of intention to use the exemption.
13/09/2012 2012/577 ESMA publishes a Q&A on Short-Selling Regulation , Statement PDF
108.69 KB
The European Securities and Markets Authority (ESMA) has published a Q&A on the Implementation of the Regulation on short selling and certain aspects of credit default swaps.The purpose of the Q&A is to promote common supervisory approaches and practices amongst the EU’s national securities markets regulators on the requirements of the Short Selling Regulation once it comes into force on 1 November 2012.  It will also provide clarity on the requirements of the new regime to market participants and investors.Issues addressed by the Q&AThe document provides responses to questions posed by market participants, national securities markets regulators, and the general public in relation to the practical application of the forthcoming Short Selling regime.  It addresses issues related to:•    territorial scope;•    transparency requirements; •    calculation of net short positions;•    uncovered short sales; •    and enforcement regime.Further InformationThe document is likely to be revised and updated before 1 November as new questions are received by ESMA.Technical queries on the application of the new regime should be addressed in writing to shortselling@esma.europa.eu, while further information can be found at http://www.esma.europa.eu/page/Short-selling. Notes for editors1.    Questions & Answers – Implementation of the regulation on short selling and certain aspects of credit default swaps.2.    Regulation on short selling and certain aspects of credit default swaps.3.    ESMA is an independent EU Authority that was established on 1 January 2011 and works closely with the other European Supervisory Authorities responsible for banking (EBA), and insurance and occupational pensions (EIOPA), and the European Systemic Risk Board (ESRB).4.    ESMA’s mission is to enhance the protection of investors and promote stable and well-functioning financial markets in the European Union (EU).  As an independent institution, ESMA achieves this aim by building a single rule book for EU financial markets and ensuring its consistent application across the EU.  ESMA contributes to the regulation of financial services firms with a pan-European reach, either through direct supervision or through the active co-ordination of national supervisory activity.Further information:David CliffeSenior Communications OfficerTel:   +33 (0)1 58 36 43 24Mob: +33 6 42 48 29 06Email: david.cliffe@esma.europa.eu
19/09/2012 2012/579 Statement by Steven Maijoor at the ECON hearing on 19/09/2012 , Speech PDF
190.14 KB
Statement given by Steven Maijoor, Chair of ESMA, at the ECON hearing in the European Parliament on 19 September 2012
17/09/2012 2012/580 Exemption for market making activities and primary market operations under Regulation (EU) 236/2012 of the European Parliament and the Council on short selling and certain aspects of Credit Default Swaps Consultation Paper PDF
307.31 KB
17/09/2012 2012/582 ESMA consults on market maker and primary dealer exemption for short selling , Press Release PDF
113.92 KB
19/09/2012 2012/589 Financing European Growth: the challenge for markets, policy-makers and investors Speech PDF
112.02 KB
Steven Maijoor, Chair of ESMA, spoke at the AFME Roundtable in Brussels on 18 September 2012.
25/09/2012 2012/604 ESMA – Issues and Priorities Speech PDF
130.7 KB
Speech given by Steven Maijoor, at the EFAMA Investment Managment Forum 2012, in Brussels on 25 September 2012
10/10/2012 2012/669 Challenges in the European Supervision of Asset Management Speech PDF
135.99 KB
Speech by Steven Maijoor, ESMA Chair, at the BVI Asset Management Conference in Frankfurt on 9 October 2012.
17/10/2012 2012/675 Restoring investors’ trust in Europe’s markets Speech PDF
136.32 KB
Speech by Steven Maijoor, at the BBA Annual Conference 2012, on 17 October 2012 in London.
19/10/2012 2012/680 Links to national websites for the purpose of the notification of net short positions Reference PDF
84.12 KB
01/11/2012 2012/715 ESMA Opinion on emergency measure by Spanish CNMV under Section 1 of Chapter V of Regulation No. 236/2012 on short selling and certain aspects of credit default swaps Opinion PDF
79.2 KB
ESMA Opinion ESMA is adopting the following opinion on the notified measure, on the basis of Article 27(2) of Regulation 236/2012 on Short selling and certain aspects of credit default swaps: On the adverse events or developmentsESMA considers that there are adverse developments which constitute a serious threat to financial stability and to market confidence in Spain. On the appropriateness and proportionality of the measure ESMA considers that the measure is appropriate and proportionate to address the above-mentioned threats that persist in Spain. On the duration of the measureESMA considers that the duration of the measure is justified and appreciates the CNMV’s statement in its notification of intent whereby the measure may be lifted during the period of enforcement of the measure, if considered necessary.
01/11/2012 2012/717 ESMA Opinion on emergency measure by the Greek HCMC under Section 1 of Chapter V of Regulation No. 236/2012 on short selling and certain aspects of credit default swaps Opinion PDF
95.45 KB
ESMA Opinion ESMA is adopting the following opinion on the notified measure, on the basis of Article 27(2) of Regulation 236/2012 on Short selling and certain aspects of credit default swaps: On the adverse events or developmentsESMA considers that there are adverse developments which constitute a serious threat to financial stability and to market confidence in Greece. On the appropriateness and proportionality of the measure ESMA considers that the measure is appropriate and proportionate to address the above-mentioned threats that persist in Greece. On the duration of the measureESMA considers that the duration of the measure is justified and appreciates the HCMC’s statement in its notification of intent whereby the measure may be lifted during the period of enforcement of the measure, if considered necessary.
31/10/2012 2012/718 Final annual accounts of ESMA for 2011 Reference PDF
841.35 KB
07/02/2012 2012/73 What problems do consumers face when seeking financial advice?- speech by Steven Maijoor Speech PDF
43.02 KB
This speech was delivered at the EP/EC event "Financial advice provided by non-profit entities to consumers" on 7 February 2012.
12/11/2012 2012/731 Developments in European Financial Reporting Regulation and Enforcement Speech PDF
185.24 KB
Speech by Steven Maijoor, Chair of ESMA, at Meet the experts, on 12 November 2012 in London.