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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
28/09/2015 2015/1457 Annex III Annex III- CSDR TS on CSD Requirements and Internalised Settlement Technical Standards PDF
910.14 KB
28/09/2015 2015/1457 - Annex II Annex II- CSDR TS on CSD Requirements and Internalised Settlement Technical Standards PDF
1.44 MB
25/09/2015 2015/1460 ESMA Final Report on DRAFT RTS on EEAP Technical Standards PDF
1.62 MB
02/10/2015 2015/1481 Final Report Draft technical standards on the Clearing Obligation – Index Credit Derivatives Technical Standards PDF
781.24 KB
25/11/2015 2015/1776 18th Extract from the EECS's Database of Enforcement Report PDF
405.97 KB
05/01/2016 2015/1791 Peer Review Report Compliance with SSR as regards Market Making activities Report PDF
615.09 KB
27/03/2015 2015/613 Draft technical standards under Article 10a(8) of MiFID on the assessment of acquisitions and increases in qualifying holdings in investment firms Technical Standards PDF
142.57 KB
Article 10b(4) of the Markets in Financial Instruments Directive (MiFID ) requires Member States to make publicly available the information necessary to carry out the assessment of a proposed acquirer of an investment firm. This information must be provided by the proposed acquirer at the time of the initial notification. This information is aimed at ensuring that competent authorities are provided with adequate and proportionate information in order to assess the acquisition. Article 10a of MiFID, as amended by Article 6(4) of the Omnibus Directive, requires ESMA to draft: - regulatory technical standards (RTS) to establish an exhaustive list of information referred to in Article 10b(4) of MiFID; and- implementing technical standards (ITS) to determine standard forms, templates and procedures for the cooperation and exchange of information between the relevant competent authorities as referred to in Article 10(4) of MiFID. ESMA had submitted the draft RTS and ITS to the European Commission (Commission) by 1 January 2014, as required. However, following the original submission to the Commission, a few changes have been necessary because of: - the adoption of a Corrigendum to MiFID to include a cross-reference to paragraph 4 of Article 10a of MiFID, instead of paragraph 4 of Article 10b of MiFID; and- the publication of MiFID II which repeals MiFID but confirms the empowerment to adopt the same RTS/ITS. ESMA submitted the updated draft RTS and ITS to the Commission on 27 March 2015, taking into consideration the points above and has included a new Article to cover the information to the provided by the proposed acquirer to enable the competent authority to assess “the reputation and experience of any person who will direct the business of the investment firm as a result of the proposed acquisition”.The Commission has three months to decide whether to endorse ESMA’s draft technical standards
22/01/2015 2015/SMSG/003 SMSG Response to ESMA’s Consultation Paper on Draft Regulatory Technical Standards on prospectus related issues under the Omnibus II Directive SMSG Advice PDF
286.08 KB
20/02/2015 2015/SMSG/005 SMSG advice paper on PRIIPS SMSG Advice PDF
362.86 KB
03/03/2015 2015/SMSG/011 SMSG Advice – The Use of Credit Ratings by Financial Intermediaries Article 5(a) of the CRA Regulation SMSG Advice PDF
219.99 KB
27/03/2015 2015/SMSG/016 SMSG Advice on cross-selling SMSG Advice PDF
92.49 KB
19/05/2015 2015/SMSG/017 PART I SMSG Contribution to the Green Paper on CMU- PART I SMSG Advice PDF
274.66 KB
19/05/2015 2015/SMSG/017 PART II SMSG Contribution to the Green Paper on CMU- PART II SMSG Advice PDF
384.44 KB
19/05/2015 2015/SMSG/017 PART III SMSG Contribution to the Green Paper on CMU- PART III SMSG Advice PDF
470.85 KB
18/09/2015 2015/SMSG/023 SMSG reply to the ESAs_PRIIPS_Key information document PRIIPs_final SMSG Advice PDF
662.2 KB
29/09/2015 2015/SMSG/025 SMSG Position Paper MAR SMSG Advice PDF
158.23 KB
18/09/2015 2015/SMSG/026 Advice on Proxy advisors SMSG Advice PDF
206.54 KB
18/02/2016 2015/SMSG/036 SMSG Advice on ESEF , SMSG Advice PDF
109.63 KB
24/07/2015 2015/SMSG/20 SMSG Advice on Assessment of Knowledge and Competence in the Context of MiFID II SMSG Advice PDF
362.66 KB
13/07/2016 2016/1130 Final Report on the Market Abuse Regulation Guidelines , Report PDF
852.59 KB