ESMA LIBRARY

The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
1828
DOCUMENTS

REFINE YOUR SEARCH

Sections

Type of document

Your filters
MiFID - Investor Protection X MiFID - Secondary Markets X Careers X Corporate Information X CESR Archive X
Reset all filters
Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
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) 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.
09/08/2007 07-429 A compilation of responses by CESR Members to the European Commission's request for initial assistance on commodity and exotic derivatives and related business Final Report PDF
325.5 KB
20/12/2000 00-138b A European Passport for Issuers- Report to the European Commission Final Report PDF
355 KB
29/06/2000 00-096l A European Regime Against Market Abuse Final Report PDF
70.68 KB
09/04/2002 01-014d A European Regime of Investor Protection – The Harmonisation of Conduct of Business Rules 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.
08/07/2002 02-098b A European Regime of Investor Protection – The Professional and Counterparty Regimes CESR Document PDF
63.43 KB
This paper completes the work conducted by CESR on the harmonization of conduct of business rules under the existing Article 11 of the Investment Services Directive. It complements the document (CESR/01-014d) adopted in April 2002 on the so called "retail regime", i.e. the regime applicable to investment services provided to non-professional customers. The paper builds on the proposal for the "Categorisation of investors for the purpose of conduct of business rules". The paper contains: I) core conduct of business rules which should apply to investment services between investment firms and professionals and II) core standards for "counterparty relationships".
06/03/2003 03-055 A network of regulators to meet the challenges of regulating European Capital Markets by Arthur Docters van Leeuwen Speech PDF
96.06 KB
Text of the speech given by the CESR Chairman, Arthur Docters van Leeuwen, on 6th March 2003 at the Guildhall in London.
23/11/2007 07-783 A proposed evolution of EU securities supervision beyond 2007 Final Report PDF
101.48 KB
24/08/2007 ABI-CRA ABI response Reference PDF
81.59 KB
31/05/2010 AMP Italy Accepted Market Practics: Liquidity Enhancement Agreements and Purchase of own shares to set up a shares warehouse position (Italy) Reference PDF
151.52 KB
08/10/2010 10-1264c ACTE D’ENGAGEMENT- PRESTATIONS DE MISSION DE MAITRISE D’OEUVRE POUR L’AGENCEMENT DES NOUVEAUX LOCAUX DU CESR A PARIS CLOSED Procedure PDF
134.85 KB
04/12/2019 ESMA71-99-1254 Acting Chair CCP Supervisory Committee , , , Statement PDF
82.87 KB
23/09/2010 10-917 Activity Report on IFRS enforcement 2009 Final Report PDF
249.55 KB
18/02/2015 2015/319 Addendum Consultation Paper- MiFID II/MiFIR Consultation Paper PDF
2.78 MB
The European Securities and Markets Authority (ESMA) has published today a consultation paper (CP) which complements the transparency section of the CP on MiFID II/MiFIR published on 19 December 2014. This CP covers the following non-equity asset classes: foreign exchange derivatives; credit derivatives; other derivatives; and contracts for difference (CFDs). For each asset class two sections are provided: the first presents the analysis on the definition of a liquid market and the second includes the calculations on the pre-trade and post-trade transparency large in scale (LIS) and size specific to the instrument (SSTI) thresholds. The last section of the CP completes draft RTS 9 (Transparency requirements in respect of bonds, structured finance products, emission allowances and derivatives) published in Annex B of the CP on MiFID II/MiFIR on 19 December 2014, where rules and tables were included for bonds, structured finance products, emission allowances and derivatives not covered in this more recent analysis. This CP should be read in conjunction with ESMA’s CP on MiFID II/MiFIR and the related Annex B published on 19 December 2014. This consultation runs until 20 March 2015. ESMA will use the input received to finalise its draft RTS which will be sent for endorsement to the European Commission in mid-2015. MiFID II/ MiFIR and its implementing measures will be applicable from 3 January 2017.
19/12/2002 02-286 Addendum to the Consultation Paper (Ref. CESR/02-185b) on CESR's advice on possible Level 2 Implementing Measures for the Proposed Prospectus Directive Consultation Paper PDF
292.63 KB
CESR publishes today an addendum to the consultation paper released in October 2002 (Ref. CESR/02-185b) on possible detailed technical measures needed to implement the proposed directive on Prospectus to be published when securities are offered to the public or admitted to trading. This addendum is a complementary paper to the consultation paper on some outstanding disclosure requirements which are relevant in the context of the measures that are being developed on the basis of a provisional mandate given to CESR by the European Commmission on 18 March 2002 (published on 27 march 2002).
23/03/2005 Addendum Addendum to the Formal Request for Technical Advice on Possible Implementing Measures for the Markets in Financial Instruments Directive Consultation Paper PDF
307.55 KB
01/12/2004 Addendum 2004/39/EC Addendum to the formal request for technical advice on possible implementing measures on the Directive on Markets in Financial Instruments (Directive 2004/39/EC. Consultation Paper PDF
114.41 KB
06/05/2003 03-129 Additional Draft Feedback Statement on Level 2 Implementing measures for the proposed Prospectus Directive CESR Document PDF
131.89 KB
On Monday 31st March 2003, the European Commission, considering that the European Parliament has not started the second reading on the prospectus proposal, has invited CESR to provide its technical advice on issues initially required for 31st March by July 31st 2003. CESR welcomes this extension and has decided to hold an additional open hearing that will take place at CESR
06/05/2003 03-128 Additional Draft Technical Advice on Level 2 Implementing measures for the proposed Prospectus Directive Consultation Paper PDF
325.47 KB
On Monday 31st March 2003, the European Commission, considering that the European Parliament has not started the second reading on the prospectus proposal, has invited CESR to provide its technical advice on issues initially required for 31st March by July 31st 2003. CESR welcomes this extension and has decided to hold an additional open hearing that will take place at CESR
26/03/2018 ESMA35-43-1000 Additional information on the agreed product intervention measures relating to contracts for differences and binary options Reference PDF
202.01 KB