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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
09/02/2016 2016/272AF 2016_mdsc_cwg_application_form Reference DOCX
40.48 KB
09/02/2016 2016/272 Call for expression of interest- CWG renewal Reference PDF
171.58 KB
11/02/2016 2016/210 ToR CDTF Reference PDF
134.83 KB
11/02/2016 2016/213 ToR OWG Transparency Reference PDF
105.18 KB
03/03/2016 Mifid mapping Mapping- fields in MiFID systems Reference XLSX
9.54 KB

This document provides a mapping of the fields between the old MiFID database http://mifiddatabase.esma.europa.eu/ and the lists available on the Registers portal http://registers.esma.europa.eu/publication/ 

04/04/2016 2016/218 ToR Audit Working Group Reference PDF
113.35 KB
04/04/2016 2016/221 ToR MDSC Reference PDF
116.48 KB
04/04/2016 2016/227 ToR SMSC Reference PDF
143.74 KB
01/07/2016 2016/1064 RTS 22 Annex II National client identifiers for natural persons to be used in transaction reports Reference PDF
224.16 KB
04/07/2016 2016/1068 APPLICATION FORM Application form for SMSC CWG Reference DOCX
35.75 KB
04/07/2016 2016/1068 Call for expressions of interest for CWG for Secondary Markets Standing Committee (SMSC) Reference PDF
260.94 KB
18/07/2016 2016/1139 APPLICATION FORM Application form for CDTF CWG Reference DOCX
35.9 KB
18/07/2016 2016/1139 Call for expressions of interest for Commodity Derivatives Task Force (CDTF) Reference PDF
288.13 KB
20/09/2016 2016/1389 Discussion Paper on the trading obligation for derivatives under MiFIR Consultation Paper PDF
1.3 MB
20/09/2016 2016/1389 RF Reply Form for the DP on the trading obligation for derivatives under MiFIR Reference DOCX
771.18 KB
30/09/2016 2016/1409 Draft RTS and ITS under SFTR and amendments to related EMIR RTS , Consultation Paper PDF
5.63 MB

The European Securities and Markets Authority (ESMA) is publishing this Consultation Paper as part of its consultations on Level 2 measures under the Securities Financing Transactions Regulation (SFTR) as well as certain amendments to the Level 2 measures under EMIR in order to take into account legal developments as well as to ensure consistency, where relevant, between the frameworks of both regulations

Contents

Section 1 is the executive summary of the document. Section 2 explains the background to our proposals. Section 3 includes detailed information on the procedure and criteria for registration as TR under SFTR. Section 4 details the use of internationally agreed reporting standards, the reporting logic under SFTR and the main aspects of the structure of an SFT report. Section 5 covers the requirements regarding transparency of data and aggregation and comparison of data. Section 6 details the access levels of authorities. Section 7 contains the tables of fields, for the relevant types of SFTs, as well as a summary of all the questions.

Next Steps

ESMA will consider the feedback it received to this document in the fourth quarter of 2016. The final report and the draft technical standards will be submitted to the European Commission for endorsement by the end of Q1/beginning Q2 2017.

30/09/2016 2016/1409 SFTR Tables , Reference XLSX
45.84 KB
03/10/2016 2016/1422 CP on RTS specifying the scope of the consolidated tape for non-equity financial instruments Consultation Paper PDF
343.95 KB

This consultation paper (CP) seeks stakeholders’ views on the draft Regulatory Technical Standard (RTS) ESMA is required to draft under Article 65(8)(c) of Directive 2014/65/EU with regard to the consolidated tape for non-equity instruments.

The input from stakeholders will help ESMA in finalising this draft RTS. Respondents to the consultations are encouraged to provide the relevant data to support their arguments or proposals.

Contents

Section 2 introduces the topic. Section 3 addresses the issue of specialisation of the CT, whereas section 4 discusses which trading venues and APAs should be mandatorily included in the CT. Finally, the CP ends with section 5 which discusses the inclusion of new trading venues and APAs to the CT as well as the removal of a trading venue or APA from the CT.

Next Steps

On the basis of the responses to this CP, ESMA will finalise the draft RTS and submit the final report to the European Commission for endorsement. The consultation closes on 5 December.

03/10/2016 2016/1422 Reply form to consultation on non-equity tape Reference DOCX
754.13 KB
05/10/2016 2016/1437 Consultation Paper on Guidelines on the management body of market operators and data reporting services providers Consultation Paper PDF
756.21 KB