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REGISTERS AND DATA

REGISTERS AND DATA

ESMA fulfils its mission to enhance investor protection and promote stable and orderly financial markets by facilitating access to relevant registers and statistical data for market participants, regulators and the general public.

    This section provides references to the registers and financial market data that ESMA compiled on the basis of notifications and data provided by the relevant national competent authorities (NCAs) and information collected through ESMA’s supervisory activities.

    A dedicated ESMA Registers portalis also available, and provides tailored search tools. An important security update is planned for 28 July, please see the portal for further details.  Any requests for further information can be sent to support@esma.europa.eu.  

     

    Database/Register Description

    Corporate finance (Prospectus Directive)

    Means of communication of final terms

    Means (emails, postal addresses) by which an issuer communicates final terms to the NCAs

    Prospectus and supplements

    List of prospectuses and supplements filed with and approved by the NCAs

    Corporate reporting (Transparency Directive)

    Access to regulated information

    Hyperlinks to national databases containing regulated information disclosed by issuers having shares admitted for trading on regulated markets

    Supervision (Credit rating agencies (CRA) Regulation and EMIR)

    Registered and certified credit rating agencies

    List of registered and certified CRAs

    Central repository (CEREP) statistics

    Statistics on the rating activity and the rating performance (including default rates and transition matrices) of all registered or certified CRAs

    Registered trade repositories (TR)

    List of registered TRs

    Investment management (AIFMD,  UCITS Directive, EuVECA and EuSEF Regulation)

    Investment Fund Managers

    Register of authorised Alternative Investment Fund Managers (AIFMs)

    Categories of covered bonds and issuers of covered bonds

    Categories of bonds referred to Article 52(4) of UCITS Directive, together with categories of issuers of those instruments

    Undertakings for collective investment in transferable securities (UCITS) management companies

    Register of UCITS management companies authorised by the NCAs

     

    European Venture Capital Fund Managers (EuVECA)

    Database listing all managers of qualifying venture capital funds with the qualifying venture capital funds that they market

    European Social Entrepreneurship Fund Managers (EuSEF)

    Databases of all managers of qualifying social entrepreneurship funds with the qualifying social entrepreneurship funds that they market

    Financial Instruments (MiFID, MiFID implementing Regulation, OMNIBUS Directive)

    Central counterparties

    List of Central Counterparties (CCPs)

    MiFID investment firms List of investment firms authorised by the NCAs including information on their authorised services and activities and on published sanctions relating to these firms that may have been imposed by the NCAs

    Multilateral trading facilities

    List of multilateral trading facilities (MTFs)

    NCAs under art.48(1-2) MiFID

    List of NCAs responsible for the enforcement of the duties provided for by MiFID I

    NCAs under art.56(1) MiFID List of NCAs - single contact points for purposes of MiFID I

    Regulated markets

    List of Regulated Markets

    Shares admitted to trading on EU regulated markets

    Database of all shares admitted to trading on a regulated market in Europe

    Suspensions and Removals of instruments from trading (art. 41 MiFID)  

    Systematic internalisers

    List of all systematic internalisers in respect of shares admitted to trading on a regulated market

    Tied Agents

    List of references or hyperlinks to the public registers of tied agents

    Short Selling (Regulation on short selling and certain  aspects  of credit default swaps)

    Administrative measures and sanctions applicable in Member States to infringements of the Short Selling Regulation (SSR)

    List of  existing  penalties and administrative measures applicable to infringements of the SSR in the Member States

    List of exempted shares (having their principle trading venue located in a third country)  

    Market makers and authorised primary dealers who are using the exemption under the SSR

    PDF | Excel

    List  of  market  makers  and authorised  primary dealers who are using the exemption under the SSR

    National websites explaining the procedures for notifications of net short positions

    List of hyperlinks to the websites containing  the information about the national notifying procedures and the templates to use

    National websites where net short positions in shares are disclosed

    List of hyperlinks to the websites operated or supervised by the NCAs publishing net short position in shares

    Net short position notification thresholds for sovereign issuers

    List of the thresholds applicable to the sovereign issuers for the purpose of the notification to the NCAs of significant net short position in sovereign debt

    Post-trading (EMIR, Settlement Finality Directive, CSDR)

    European Central Counterparties (CCPs) authorised to offer services and activities in the Union

    List of CCPs authorised in the EU

    List of third-country CCPs recognised to offer services and activities in the Union

    List of third-country CCPs recognised in the EU

    Competent authorities responsible for the authorisation and supervision of central counterparties

    List of the NCAs responsible for the authorisation and supervision of CCPs

    Competent authorities responsible for non-financial counterparties

    List of the NCAs responsible for ensuring that non-financial counterparties above the clearing threshold comply with the EMIR obligations

    Public Register for the Clearing Obligation under EMIR

    Register listing classes of OTC derivatives that CCPs are authorised to clear

    Competent Authorities Responsible for the Authorisation and Supervision of Central Securities Depositories (CSDs)

    List of the NCAs responsible for the authorisation and supervision of CSDs

    Key relevant provisions of the corporate or similar law of a Member State, under which securities are constituted

    Compilation of key relevant provisions of national corporate or similar law, under which securities are constituted

    Designated authority to notify opening of insolvency proceeding

    List of the NCAs chosen for receiving immediate notification from the relevant judicial or administrative authority when insolvency proceedings are opened

    Designated payment and securities settlement systems

    List of designated payment and securities settlement systems

    List of Exempted Pension Schemes

    List of pension scheme arrangements exempted from the clearing obligation

    List of third-country markets considered as equivalent to a regulated market in the Union under EMIR

    List of third country markets declared as equivalent for the purposes of the definition of OTC derivatives under EMIR

    Other

    Sanctions

    Compilation of sanctions applied and published in Member States under MAD, MiFID, UCITS