ESMA LIBRARY

The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
4675
DOCUMENTS

REFINE YOUR SEARCH

Sections

Type of document

Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
19/07/2010 10-610 Consultation paper- Standardisation and exchange trading of OTC derivatives Consultation Paper PDF
288.76 KB
16/03/2009 09-047 Consultation paper- Technical issues relating to Key Information Document (KID) disclosures for UCITS Consultation Paper PDF
602.67 KB
20/07/2010 10-794 Consultation paper- Template for the Key Investor Information document Consultation Paper PDF
133.42 KB
20/10/2006 06-552 Consultation Paper- The list of minimum records in Article 51(3) of the MiFID implementing Directive Consultation Paper PDF
75.75 KB
15/12/2006 06-669 Consultation paper- the passport under MiFID Consultation Paper PDF
248.57 KB
This paper is open for consultation until 31 January 2007
13/02/2008 08-036 Consultation Paper- The role of credit rating agencies in structured finance Consultation Paper PDF
293.93 KB
29/09/2009 09-837 Consultation paper- Trade Repositories in the European Union Consultation Paper PDF
155.92 KB
19/07/2010 10-809 Consultation paper- Transaction Reporting on OTC Derivatives and Extension of the Scope of Transaction Reporting Obligations Consultation Paper PDF
143.71 KB
19/12/2008 08-1014 Consultation Paper- Transparency of corporate bond, structured finance products and credit derivatives markets Consultation Paper PDF
986.94 KB
14/10/2009 09-665 Consultation paper- Understanding the definition of advice under MiFID Consultation Paper PDF
302.13 KB
15/12/2006 06-648b Consultation paper- use of reference data standard codes in transaction reporting Consultation Paper PDF
64.67 KB
18/11/2010 10-1253 Consultation Paper: CESR’s Guidelines on Risk Measurement and the Calculation of Global Exposure for certain types of structured UCITS Consultation Paper PDF
205.28 KB
19/12/2017 ESMA33-128-107 Consultation_Paper_Disclosure_and_Operational_Standards Consultation Paper PDF
2.66 MB
19/12/2017 ESMA33-128-33 Consultation_Paper_STS notification Consultation Paper PDF
1.01 MB
19/12/2017 ESMA33-128-108 Consultation_Paper_Third-Party_Firm_STS_Verification_Application Consultation Paper PDF
586.89 KB
01/02/2001 00-124b Consultative Paper on "the Harmonisation of Core Conduct of Business Rules for Investor Protection" Consultation Paper PDF
951.84 KB
FESCO has adopted in March 2000 a paper on the "Implementation of article 11 of the ISD: Categorisation of investors for the purpose of conduct of business rules" (00-FESCO-A) and agreed to start a consultation on a new paper on "The harmonisation of core conduct of business rules for investor protection" (ref. FESCO/00-124b). These two documents are intended to be complementary and part of the same exercise, aimed at providing a harmonised framework for the provision of investment services throughout EEA. First, intermediaries have to categorise their clients on the basis of the criteria laid down in the FESCO document, then, depending on the outcome, either the retail or the professional regime will apply. The elaboration of these documents is a significant contribution to the EU Action Plan for Financial Services developed by the European Commission and will contribute to enhancing investor confidence and, therefore, to the implementation of efficient and transparent financial Markets in Euope. The document is open to public consultation for a period of 3 months.
11/06/2001 01-035b Consultative Paper on Proposed Standards for Alternative Trading Systems Consultation Paper PDF
104.9 KB
Fesco consults on a proposal for common European standards for Alternative Trading Sytems (ATS's) with the view to providing appropriate regulation under the Instrument Services Directive (ISD) of instruments firms operating ATS\'s. These proposals have been prepared by an expert group chaired by Howard Davies, Chairman of the UK FSA. Responses to the questions posed in the paper, as well as any general comment, are welcomed by end of August 2001.
31/03/2006 06-092 Consulting Investors on the Transparency Directive: Storage of Information Consultation Paper PDF
67.44 KB
The issue of storage is important for investors in that it should provide investors with greater access to information on all issuers across Europe. The idea is that all EU investors will be able to access information from a single source in order to evaluate their investment opportunities and to make informed investment choices. CESR considers that investors and more particularly, retail investors may wish to use the storage system to access information and therefore this system should be structured so as to be user-friendly for end investors and to respond to their expectations in terms of functionalities. An investor's version of the Consultation paper (Ref. CESR/06-025)was distributed to retail investor associations, and a hearing was organised on 20 March. The responses received to this investor's version will be included in the list of responses received to the Consultation paper
24/11/2011 2011/398 Contact information for retail investors- contact points in national competent authorities Reference PDF
100.81 KB
03/02/2020 ESMA35-43-1410 Contact points of national supervisory authorities for communication in the MiFID II framework on supervisory cooperation, authorisation, acquisitions and passporting Reference PDF
482.99 KB