ESMA LIBRARY

The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
4651
DOCUMENTS

REFINE YOUR SEARCH

Sections

Type of document

Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
31/03/2015 2015/MB/17 Summary of Conclusions Management Board 28 January 2015 Reference PDF
218.77 KB
31/03/2015 2015/Decl Declaration of Interest 2014 Steven Maijoor Reference
31/03/2015 2015/662 Press release: ESMA sees improved transparency of issuers financial statements – more information needed on forbearance practices and impairment tests , , Press Release PDF
140.76 KB
31/03/2015 2015/659 ESMA Report on Enforcement and Regulatory Activities of Accounting Enforcers in 2014 , Final Report PDF
633.7 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
27/03/2015 2015/SMSG/016 SMSG Advice on cross-selling SMSG Advice PDF
92.49 KB
25/03/2015 2015/277 ESMA 2015 Regulatory Work Programme Reference PDF
99.38 KB
24/03/2015 2015/620 MIFID/MIFIR- CSD hearing before ECON , Speech PDF
117.88 KB
24/03/2015 2015/610 Draft guidelines on complex debt instruments and structured deposits Consultation Paper PDF
221.62 KB
Who should read this paper    This paper is primarily of interest to competent authorities and firms that are subject to MiFID, in particular, investment firms and credit institutions performing investment services and activities. This paper is also important for trade associations, investors, and consumer groups, because the guidelines seek to implement enhanced provisions to ensure investor protection with potential impacts for anyone engaged in dealing with or processing of financial instruments. ESMA invites comments on all matters in this paper and in particular on the specific questions summarised in Annex 1. Comments are most helpful if they:•    respond to the question stated;•    indicate the specific question to which the comment relates;•    contain a clear rationale; and•    describe any alternatives ESMA should consider. ESMA will consider all comments received by 15 June 2015. All contributions should be submitted online at www.esma.europa.eu under the heading ‘Your input - Consultations’. Publication of responses All contributions received will be published following the close of the consultation, unless you request otherwise.  Please clearly and prominently indicate in your submission any part you do not wish to be publically disclosed. A standard confidentiality statement in an email message will not be treated as a request for non-disclosure. A confidential response may be requested from us in accordance with ESMA’s rules on access to documents. We may consult you if we receive such a request. Any decision we make not to disclose the response is reviewable by ESMA’s Board of Appeal and the European Ombudsman. Data protection Information on data protection can be found at www.esma.europa.eu under the heading Legal Notice.
23/03/2015 2015/609 Guidelines on periodic information to be submitted to ESMA by Credit Rating Agencies Final Report PDF
166.64 KB
23/03/2015 2015/615 Call for interest IPISC-CWG renewal Reference PDF
187.49 KB
ESMA is today launching the process to renew the composition of the IPISC CWG. ESMA is therefore calling for expressions of interest from stakeholders. Application procedure, closing date Relevant stakeholders meeting the required selection criteria and wishing to apply for a position on the CWG are invited to submit, in English:. A completed application form (see separate document), and. A detailed curriculum vitae (CV), preferably in the EU CV format. It is optional for applicants to attach a motivation letter (2 pages maximum).. Unclear or incomplete applications will not be considered.. Applications must be submitted by email no later than 23 April 2015 to the following email addresses: IPISC.CWG.renewal2015@esma.europa.eu
20/03/2015 2015/558 Call for evidence on private and bilateral SFIs Consultation Paper PDF
118.4 KB
This call for evidence should be read by all those involved in the EU securitisation markets. It is particularly targeted at the following market participants and the groups and trade associations who represent them: •    Issuers, originators and sponsors of Structured Finance Instruments (SFIs);•    Investors acting in the securitisation markets;•    Market intermediaries other than the issuers, originators and sponsors of SFIs.Responses are most helpful to ESMA when they clearly indicate which question is being answered and provide evidence in support of the response, such as concrete examples of practices experienced, data or costs estimates. Should respondents feel that the distinction provided for by the two proposed categories (issuers vs. investors) is not suitable to their particular situation, ESMA welcomes these contributions in alternative format. ESMA will consider all responses that have been received by 20 May 2015. All contributions should be submitted online at www.esma.europa.eu under the heading ‘Your input - Consultations’.
18/03/2015 2015/592 Automated Trading Guidelines- ESMA peer review among National Competent Authorities Final Report PDF
930.33 KB
18/03/2015 2015/593 ESMA sees increased convergence in automated trading supervision Press Release PDF
102.81 KB
12/03/2015 2015/583 Regulators, pension funds and efficient financial markets Speech PDF
55.54 KB
11/03/2015 2015/562 Press release- ESMA sees continued tense securities market conditions , Press Release PDF
141.95 KB
11/03/2015 2015/527 ESMA Risk Dashboard No 1 2015 Final Report PDF
798.36 KB
11/03/2015 2015/526 Report on Trends, Risks and Vulnerabilities No 1 2015 Final Report PDF
2.59 MB
09/03/2015 2015/511 Revised opinion on draft RTS on the clearing obligation on interest rate swaps Opinion PDF
336.52 KB
09/03/2015 ESMA MAS MoU ESMA and MAS MoU on CCPs Reference PDF
758.85 KB