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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
02/06/2017 ESMA70-143-5 Methodological framework for mandatory benchmarks contributions Report PDF
282.75 KB
02/06/2017 ESMA35-43-620 Final report on guidelines on MiFID II product governance requirements Final Report PDF
713.52 KB
01/06/2017 ESMA70-708036281-73 CSDR substential importance indicators- template Guidelines & Recommendations XLSX
140.54 KB
01/06/2017 ESMA70-708036281-72 CSDR relevant currencies indicators- template Reference XLS
283 KB
01/06/2017 ESMA7--145-100 Final report on MAR ITS on cooperation between competent authorities , Final Report PDF
926.19 KB
01/06/2017 ESMA70-151-291 Consultation paper on guidelines on CCPs' conflict of interest management Consultation Paper PDF
344.94 KB
01/06/2017 ESMA41-137-1005 Decision of the Board of Supervisors to adopt a supervisory measure and impose fines with respect to infringements by Moody’s Deutschland GmbH and Moody’s Investors Service Limited , Decision PDF
207.16 KB
01/06/2017 ESMA71-99-466 Public Notice- Moody's Germany and Moody's United Kingdom Statement PDF
297.01 KB
01/06/2017 ESMA71-99-466 ESMA fines Moody’s €1.24 million for credit ratings breaches , , Press Release PDF
238.35 KB

The European Securities and Markets Authority (ESMA) has fined Moody’s Deutschland GmbH (Moody’s Germany) €750,000 and Moody’s Investors Service Limited (Moody’s UK) €490,000, and issued a public notice, for two negligent breaches of the Credit Rating Agencies Regulation (CRAR).

ESMA found that Moody’s Germany and Moody’s UK negligently committed two infringements of the CRAR regarding their public announcement of certain ratings and their public disclosure of methodologies used to determine those ratings. These failures concern nineteen ratings issued between June 2011 and December 2013 for nine supranational entities including the European Investment Bank, the European Investment Fund, the European Stability Mechanism, the European Financial Stability Facility and the European Union.

01/06/2017 ESMA22-106-209 Summary of Conclusions Board of Supervisors Conference call 03/05/2017 Summary of Conclusions PDF
185.2 KB
31/05/2017 ESMA71-99-470 ESMA registers Bloomberg Trade Repository Limited as a trade repository , Statement PDF
141.48 KB

The European Securities and Markets Authority (ESMA), the EU supervisor of trade repositories (TRs), has registered Bloomberg Trade Repository Limited as a TR under the European Market Infrastructure Regulation (EMIR), with effect from 7 June 2017. Bloomberg Trade Repository Limited is based in the United Kingdom and covers the following derivative asset classes: commodities, credit, foreign exchange, equities and interest rates.

31/05/2017 ESMA71-99-469 ESMA issues principles on supervisory approach to relocations from the UK , , Press Release PDF
143.31 KB

The European Securities and Markets Authority (ESMA) has published an Opinion setting out general principles aimed at fostering consistency in authorisation, supervision and enforcement related to the relocation of entities, activities and functions from the United Kingdom. The opinion is addressed to national competent authorities (NCAs), in particular of the 27 Member States that will remain in the EU (EU27).

The opinion is a practical tool to support supervisory convergence in the context of increased requests from UK financial market participants seeking to relocate to the EU27. It covers all legislation referred to in the ESMA Regulation, in particular the AIFMD, the UCITS Directive, MiFID I and MiFID II.

31/05/2017 ESMA42-110-433 General Principles to support supervisory convergence in the context of the UK withdrawing from the EU , Opinion PDF
182.68 KB

The European Securities and Markets Authority’s (ESMA) competence to deliver an opin-ion is based on Article 29(1)(a) of Regulation (EU) No 1095/2010 of the European Parliament and of the Council (ESMA Regulation).  In accordance with Article 44(1) of the ESMA Regulation, the Board of Supervisors has adopted this opinion.

30/05/2017 ESMA03-173-194 Letter to European Commission Vice President Dombrovskis- formal response to consultation on the review of the operation of the ESAs Letter PDF
171.33 KB
30/05/2017 ESMA70-145-103 Communication on launch of reference data submission under MAR , Opinion PDF
132.12 KB
26/05/2017 ESMA71-102-160 Reply Form for MMF Consultation Reference DOCX
771.09 KB
24/05/2017 ESMA71-99-468 ESMA consults on Money Market Funds rules , Press Release PDF
144.79 KB

The European Securities and Markets Authority (ESMA) has published a Consultation Paper (CP) on the Money Market Funds Regulation (MMFR). The CP contains proposals on draft technical advice (TA), draft implementing technical standards (ITS), and guidelines under the MMFR. The key proposals relate to asset liquidity and credit quality, the establishment of a reporting template and stress test scenarios.

24/05/2017 ESMA34-49-82 Draft technical advice, implementing technical standards and guidelines under the MMF Regulation Consultation Paper PDF
2.04 MB
23/05/2017 ESMA32-61-173 Letter to EFRAG on Exposure Draft Amendments to IFRS 9 Prepayment Features , Letter PDF
100.51 KB
23/05/2017 ESMA32-61-166 Letter to the IFRS Interpretations Committee’s tentative agenda decision on IFRS 9- Modification of financial liabilities , Letter PDF
100.98 KB