| From 31/03/2005 to 15/05/2005 |
CESR-CFTC Communiqué |
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SEE RESPONSES |
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| Summary |
The Committee of European Securities Regulators (CESR) and the U. S. Commodity Futures Trading Commission (CFTC) released today a Communiqu
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| From 18/03/2005 to 10/06/2005 |
CESR's Advice on Clarification of Definitions concerning Eligible Assets for Investments of UCITS |
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SEE RESPONSES |
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| From 03/03/2005 to 04/04/2005 |
Second Consultation Paper on CESR's Draft Technical Advice on Possible Implementing Measures of the Directive 2004/39/EC on Markets in Financial Instruments |
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SEE RESPONSES |
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| Summary |
This consultation paper covers the following questions.
a.The application of the general obligation to act fairly, honestly and professionally in the best interest of clients where the investment firm grants a credit or loan of money to a retail client, or arranges for a third party to do… |
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| From 03/02/2005 to 03/03/2005 |
Admission of Financial Instruments to Trading on Regulated Markets - CESR's Draft Technical Advice on Possible Implementing Measures of the Directive 2004/39/EC on Markets in Financial Instruments |
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SEE RESPONSES |
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| Summary |
The consultation paper covers the following aspects:
-Requirements for financial instruments to be admitted to trading on Regulated Markets; and
-Obligations for Regulated Markets to verify issuers
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| Documents |
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| From 20/12/2004 to 21/02/2005 |
CESR's Draft Technical Advice on Possible Implementing Measures of the Directive 2004/39/EC on Markets in Financial Instruments - Professional Client Agreements - Call for Opinions |
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SEE RESPONSES |
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| Summary |
This call for opinions covers a single subject: advice to the Commission under article 19.7 in relation to agreements between the investment firms and their professional clients
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| Documents |
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| From 13/12/2004 to 04/03/2005 |
Second part of CESR's advice on possible implementing measures of the Transparency Directive |
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SEE RESPONSES |
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| Summary |
CESR published today for consultation, its second set of advice on possible implementing measures covering different aspects of the Transparency Directive (Ref. CESR/04-512c), in particular:
- notification of major holding of voting rights;
- half yearly financial reports;
-… |
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| From 30/11/2004 to 01/02/2005 |
Consultation on CESR's technical advice to the European Commission on possible measures concerning credit rating agencies |
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SEE RESPONSES |
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| Summary |
Please post your answer to this consultation via the website, by 1 February
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| Documents |
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| From 17/11/2004 to 17/12/2004 |
Second Consultation paper on the first set of mandates regarding possible implementing measures for the Market in Financial Instruments Directive |
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SEE RESPONSES |
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| Summary |
On 17 June 2004 CESR published its first consultation paper on the first set of mandates under the MiFiD (ref. CESR/04-261b). The public consultation closed on 17 September, except for mandates on best execution and market transparency. The deadline for these mandates has been postponed to end… |
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| From 28/10/2004 to 28/01/2005 |
CESR's Advice on Possible Implementing Measures of the Transparency Directive |
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SEE RESPONSES |
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| Summary |
CESR received on 29 June 2004 the official request from the European Commission for technical advice on implementing measures of the Transparency Directive. The purpose of this consultation document from CESR is to seek comments on the draft technical advice that CESR proposes to give to the… |
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| From 28/10/2004 to 29/11/2004 |
Call for Evidence on possible modifications of the UCITS Directive |
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SEE RESPONSES |
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| Summary |
The European Commission intends to make use of the delegated powers conferred by Art. 53a of the UCITS Directive to the Commission to clarify some of the definitions pertaining to eligible assets which are contained in the UCITS Directive. In its preparation of possible draft comitology… |
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| From 28/10/2004 to 31/01/2005 |
Consultation on Market Abuse, Level 3 |
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SEE RESPONSES |
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| From 25/10/2004 to 31/01/2005 |
Which supervisory tools for the EU securities markets? Preliminary Progress Report (Himalaya Report) |
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SEE RESPONSES |
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| Summary |
The purpose of this preliminary report on the supervision of securities activities in Europe by CESR is twofold. The first objective is to take stock of progress made through the Financial Services Action Plan (FSAP) toward the integration of the EU Single Market for Financial Services in the… |
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| From 21/10/2004 to 08/12/2004 |
Consultation on guidance for regulators on how to apply transitional provisions introduced by the UCITS III Directive. |
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SEE RESPONSES |
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| Summary |
The amending UCITS Directive introduced in 2001 (commonly known as the UCITS III Directive) contain a number of transitional provisions which apply both to UCITS I funds and to grandfathered management companies respectively, and these have given rise to differing interpretations across Europe… |
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| From 21/10/2004 to 22/12/2004 |
Concept Paper on how CESR intends to measure equivalence between Third Country GAAP and IAS/IFRS |
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SEE RESPONSES |
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| Summary |
Both the newly adopted Prospectus Regulation and the Transparency Directive state that third country issuers (non-EU issuers), who have their securities admitted to trading on an EU regulated market, or who wish to make a public offer of their securities in Europe, will be required, as from 1st… |
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| From 21/10/2004 to 21/01/2005 |
Consultation on CESR's draft advice on the second set of mandates from the European Commission on the Markets in Financial Instruments Directive (MiFID) |
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SEE RESPONSES |
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| Summary |
CESR publishes today its consultation paper (CESR ref: 04-562) with its proposed advice responding to the second set of mandates from the European Commission on the legislative measures to implement the Markets in Financial Instruments Directive. CESR's advice on this second set of mandates… |
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| From 20/09/2004 to 04/10/2004 |
CESR's Advice on Possible Implementing Measures of the Directive 2004/39/EC on Markets in Financial Instruments - best-execution (mandate under Article 21 of MiFiD) and market transparency (section III.B of the consultative paper) |
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SEE RESPONSES |
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| Summary |
The deadline for responses to the abovementioned topics was extended to 4 October 2004. For the relevant documents and more information, see under the consultation that closed on 17 September. Please post your answer on the website by 4 October.
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| From 28/07/2004 to 27/08/2004 |
Call for evidence on Call to CESR for technical advice on possible measures concerning Credit Rating Agencies |
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SEE RESPONSES |
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| Summary |
CESR published today a call for evidence on credit rating agencies following receipt of a call for advice from the European Commission requesting technical advice which might assist in developing possible legislative measures if considered appropriate.
Responses to the call for evidence… |
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| From 29/06/2004 to 29/07/2004 |
Call for evidence regarding the European Commission's mandates on equivalence between certain third countries' application of GAAP and IAS/IFRS |
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SEE RESPONSES |
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| Summary |
Please post your answer to this call for evidence by 29 July 2004.
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| From 29/06/2004 to 29/07/2004 |
Call for evidence regarding the European Commission's mandates on the Transparency Directive |
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SEE RESPONSES |
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| Summary |
Please post your answer to this call for evidence on the website by 29 July 2004
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| From 29/06/2004 to 29/07/2004 |
Call for Evidence on the second set of mandates from the European Commission on the legislative measures to implement the Markets in Financial Instruments Directive |
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SEE RESPONSES |
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| Summary |
Please post your answer to this call for evidence on the website by 29 July 2004
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