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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
25/05/2020 Market makers - XLS Market makers and authorised primary dealers who are using the exemption under the SSR- XLS Reference XLSX
44.03 KB
30/09/2016 2016/1414 Methodological Framework- Model Written Arrangements for Benchmark Colleges Reference PDF
272.57 KB

Article 46 of the Regulation (EU) No 2016/1011 of the European Parliament and of the Council of 8 June 2016 on indices used as benchmarks in financial instruments and financial contracts or to measure the performance of investment funds (Regulation) provides that the competent authority of an administrator of a critical benchmark that is referred to in points (a) and (c) of Article 20(1) of the Regulation shall establish a college.

ESMA will be a member of every college and according to Article 46(7) of the Regulation may give advice concerning the written arrangements. To promote the convergent operation of benchmark colleges, ESMA has developed model written arrangements that may be used by administrators of critical benchmarks according to Article 46(6) of the Regulation.

04/04/2019 ESMA35-36-1640 MiFID II Supervisory Briefing on Appropriateness Reference PDF
326.68 KB
13/11/2018 ESMA35-43-1206 MiFID II Supervisory Briefing on Suitability Reference PDF
557.16 KB
11/02/2019 ESMA35-43-1493 MiFID II supervisory briefing on the use of third-country branches by EU firms , , Reference PDF
469.29 KB
01/02/2016 2016/200 MiFID registers- information about web service , Reference PDF
311.04 KB

This document sets out the web service for the following registers:

Shares admitted to trading on regulation markets

Exempted shares

Systematic internalisers

Regulated Markets

Multilateral trading facilities

Central counterparties

19/12/2012 2012/850 MiFID supervisory briefing- Suitability Reference PDF
238 KB
31/10/2018 Net short thresholds Net short position notification thresholds for sovereign issuers Reference XLSX
25.88 KB

According to Article 7(2) of the Short Selling Regulation, ESMA has to publish a list of the thresholds applicable to the sovereign issuers for the purpose of the notification to competent authorities of significant net short position in sovereign debt.

The way these notification thresholds are defined is further specified in the Commission Delegated Regulation No 918/2012 (the “DR”). The DR specifies that initial threshold categories shall be:
1.0.1% applicable where the total amount of outstanding issued sovereign debt is between 0 and 500 billion euros;
2.0.5% applicable where the total amount of outstanding issued sovereign debt is above 500 billion euros or where there is a liquid futures market for the particular sovereign debt.

The additional incremental levels shall be set at 50% of the initial thresholds. The reporting thresholds shall be monetary amounts fixed by applying the percentage thresholds to the outstanding sovereign debt of the sovereign issuer. They will be revised and updated quarterly to reflect changes in the total amount of outstanding sovereign debt of each sovereign issuer.

In addition, the DR states that the amount of outstanding debt should be calculated using a duration adjusted approach. ESMA has published a Q&A document on how to proceed for the duration adjustment.

The table of thresholds contains the name of the sovereign issuer, the amount of outstanding debt duration adjusted, the initial threshold amount and the relevant percentage, the incremental threshold amount and the relevant percentage.

Please note that the figures of the amount of outstanding debt are duration adjusted (not nominal amounts) and are approximations provided by competent authorities.

17/11/2015 2015/1514 Note on MiFID-MiFIR implementation delays , Reference PDF
131.7 KB
01/06/2018 ESMA35-43-1135 Notice of ESMA's Product Intervention Decisions on CFDs and binary options , Reference PDF
241.42 KB
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01/10/2018 ESMA35-43-1391 Notice of ESMA’s Product Intervention Renewal Decision in relation to binary options Reference PDF
98.36 KB
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12/02/2013 2013/203 On the evaluation of the Regulation (EU) 236/2012 of the European Parliament and of the Council on short selling and certain aspects of credit default swaps Consultation Paper PDF
315.16 KB
22/03/2019 esma35-36-1590 Presentation on CPs MIFID-UCITS-AIFMD , , Reference PDF
187.17 KB
10/01/2019 ESMA71-99-1081 Press release- ESMA report finds investment product performance highly impacted by charges , Annual Report PDF
159.37 KB
10/11/2016 2013/68c Protocol on the operation of ESMA MiFID Database final , Reference PDF
333.11 KB
28/05/2020 ESMA70-156-2187 Public Statement BMR transitional period- pending applications Reference PDF
130.51 KB
03/06/2016 2016/723 RF Reply form for the Consultation Paper on ESMA technical advice on Benchmarks Regulation , Reference DOCX
784.51 KB
29/09/2016 2016/1406 reply form Reply form to the Consultation paper on Benchmarks Reference DOCX
757.37 KB
29/09/2017 ESMA70-145-253 Response form for the Consultation Paper on Guidelines for non-significant benchmarks Reference DOCX
768.13 KB
29/11/2017 ECB/ESMA/FSMA Risk Free Rate Working Group Application Form Reference DOCX
25.87 KB