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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
25/06/2012 2012/403 ESMA proposes rules on derivatives, central counterparties and trade repositories Press Release PDF
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The European Securities and Markets Authority (ESMA) has launched a consultation on its technical standards under the Regulation on OTC derivatives, central counterparties and trade repositories (EMIR), which is aimed at improving the functioning of OTC derivatives markets in the European Union (EU).  EMIR aims to achieve this by reducing risks via the use of central clearing and risk mitigation techniques, increasing transparency via trade repositories (TR) and ensuring sound and resilient central counterparties (CCPs).
25/06/2012 2012/402 ESMA publishes its first Annual Report Press Release PDF
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28/06/2012 2012/441 ESMA proposes remuneration guidelines for alternative investment fund managers , Press Release PDF
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The European Securities and Markets Authority (ESMA) has published today a consultation paper on proposed Guidelines on remuneration of alternative investment fund managers (AIFMs).  ESMA’s future guidelines will apply to managers managing alternative investment funds (AIFs) including hedge funds, private equity funds and real estate funds.  These funds will be asked to introduce sound and prudent remuneration policies and structures with the aim of increasing investor protection and avoiding conflicts of interest that may lead to excessive risk taking.
06/07/2012 2012/424 ESMA publishes MiFID guidelines to enhance investor protection , Press Release PDF
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The European Securities and Markets Authority (ESMA) has today published two final sets of guidelines aimed at enhancing the protection of investors in the EU. The guidelines relate to the provisions under the Markets in Financial Instruments Directive (MiFID) relating to the suitability of investment advice and the compliance function.
25/07/2012 2012/475 ESMA publishes ETF guidelines and consults on repo arrangements , Press Release PDF
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The European Securities and Markets Authority (ESMA) has today published guidelines on Exchange-Traded Funds (ETFs) and other UCITS issues.  These guidelines will apply to national securities markets regulators and UCITS management companies.ESMA is also seeking views on the appropriate treatment of repo and reverse repo arrangements in the context of the guidelines on ETFs and other UCITS issues.
30/08/2012 2012/537 STATEMENT- Short Selling Regulation Update: Market Maker & Primary Dealer Exemption Notification Procedure , , Statement PDF
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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.
31/08/2012 JC/2012/70 ESAs consult on the application of the capital calculation methods for financial conglomerates , Press Release PDF
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17/09/2012 2012/581 ESMA proposes remuneration guidelines for firms providing investment services , Press Release PDF
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17/09/2012 2012/582 ESMA consults on market maker and primary dealer exemption for short selling , Press Release PDF
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25/09/2012 2012/602 ESMA Data on Prospectuses Approved and Passported- January 2011 to December 2011 , Final Report PDF
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25/09/2012 2012/603 ESMA Data on Prospectuses Approved and Passported- January 2012 to June 2012 , Final Report PDF
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NOTE: This Report is an amended version of the Report published on 25 September 2012. The previously published Report was amended on 15 May 2013 following the discovery of factual errors in the statis-tical information in Section III.2.   Title ESMA Data on Prospectuses Approved and Passported - January 2012 to June 2012
27/09/2012 2012/606 ESMA defines standards for derivatives and CCPs Press Release PDF
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01/10/2012 2012/641 ESMA approves Axesor S.A. as a credit rating agency , Statement PDF
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01/10/2012 2012/607 Further amendments to ESMA’s Recommendations for the consistent implementation of the Prospectus Regulation regarding mineral companies , Consultation Paper PDF
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31/10/2012 2012/718 Final annual accounts of ESMA for 2011 Reference PDF
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12/11/2012 2012/730 ESMA announces enforcement priorities for 2012 financial statements , Press Release PDF
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21/11/2012 ECA/ESMA 2011 Report on the annual accounts of the European Securities and Markets Authority for the financial year 2011 together with the Authority’s replies Reference PDF
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03/12/2012 2012/798 EU and Swiss regulators to co-operate on cross-border supervision of alternative investment funds , Press Release PDF
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04/12/2012 2012/801 ESMA finalises guidelines on repo arrangements for UCITS funds , Press Release PDF
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Date: 04 December 2012ESMA/2012/801PRESS RELEASEESMA finalises guidelines on repo arrangements for UCITS fundsThe European Securities and Markets Authority (ESMA) has today published its final guidelines on repurchase and reverse repurchase agreements for UCITS funds.  The guidelines state that UCITS should only enter into such agreements if they are able to recall at any time any assets or the full amount of cash.Key elements of the guidelines are:•    For repurchase arrangements, UCITS should be able to recall at any time the assets subject to such arrangements; •    For reverse repurchase agreements, UCITS should be able to recall at any time the full amount of cash on either an accrued or a mark-to-market basis.  However, when cash is recalled on a mark-to-market basis, the mark-to-market value of the reverse repurchase agreements should be used for the calculation of the net asset value of the UCITS; and•    ESMA considers fixed-term repurchase and reverse repurchase agreements that do not exceed seven days as arrangements that allow the assets to be recalled at any time by the UCITS.The guidelines will now be translated into all EU languages and will be incorporated into ESMA’s Guidelines on ETFs and other UCITS issues, published in July 2012.  The full set of guidelines will enter into force two months after the publication of the translations.  This will result in a comprehensive framework for UCITS that will increase transparency and investor protection and contributes to safeguarding the stability of financial markets. Notes for editors1.    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).2.    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 Officer Tel:   +33 (0)1 58 36 43 24 Mob: +33 6 42 48 29 06Email: press@esma.europa.eu
04/12/2012 2012/802 Statement: Operating Principles and Areas of Exploration in the Regulation of the Cross-Border Derivatives Market Statement PDF
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