| From 24/07/2014 to 24/10/2014 |
Draft Regulatory Technical Standards on risk concentration and intra-group transactions under Article 21a (1a) of the Financial Conglomerates Directive |
Joint Committee |
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| Summary |
Please send your comments to the EBA and EIOPA using the following links:
Respond to the EBA.
Respond to EIOPA.
The consultation period closes on 24 October 2014.
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| Documents |
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| From 22/07/2014 to 22/10/2014 |
Discussion paper - Calculation of counterparty risk by UCITS for OTC financial derivative transactions subject to clearing obligations |
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SEE RESPONSES |
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| Summary |
Responding to this paperESMA 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: … |
| Documents |
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| From 16/07/2014 to 31/10/2014 |
On periodic information to be submitted to ESMA by Credit Rating Agencies |
Credit Rating Agencies |
SEE RESPONSES |
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| Summary |
Who should read this paper?This consultation paper should be by read by credit rating agencies (as defined in Article 3(1)(b) of the CRA Regulation), companies which have applied for registration or are considering applying for registration, competent authorities, and consumer groups. Responding… |
| Documents |
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| From 15/07/2014 to 15/10/2014 |
Consultation Paper - Draft technical standards on the Market Abuse Regulation (MAR) |
Market Abuse, Market Integrity |
SEE RESPONSES |
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| Summary |
Who should read this paper?This paper may be specifically of interest to any investor that deals in financial instruments and emission allowances subject to the Market Abuse Regulation, issuers of instruments in the scope of the Regulation, financial intermediaries, operators of trading venues… |
| Documents |
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| From 15/07/2014 to 15/10/2014 |
Consultation Paper - Draft technical advice on possible delegated acts concerning the Market Abuse Regulation (MAR) |
Market Abuse, Market Integrity |
SEE RESPONSES |
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| Summary |
Who should read this paperThis paper may be specifically of interest to any investor that deals in financial instruments and emission allowances subject to the Market Abuse Regulation, issuers of instruments in the scope of the Regulation, financial intermediaries, operators of… |
| Documents |
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| From 11/07/2014 to 18/08/2014 |
Consultation paper Clearing Obligation no1 IRS |
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SEE RESPONSES |
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| Summary |
With the overarching objective of reducing systemic risk, EMIR introduces the obligation to clear certain classes of OTC derivatives in central clearing houses (CCPs) that have been authorised (European CCPs) or recognised (third-country CCPs) under its framework.ESMA defined the IRS classes to… |
| Documents |
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| From 11/07/2014 to 18/09/2014 |
Consultation paper Clearing Obligation no2 CDS |
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SEE RESPONSES |
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| Summary |
With the overarching objective of reducing systemic risk, EMIR introduces the obligation to clear certain classes of OTC derivatives in central clearing houses (CCPs) that have been authorised (European CCPs) or recognised (third-country CCPs) under its framework.Following a first consultation… |
| Documents |
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| From 22/05/2014 to 01/08/2014 |
Discussion Paper on MiFID II/MiFIR |
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SEE RESPONSES |
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| Summary |
Who should read this paper?
This document will be of interest to all stakeholders involved in the securities markets. It is primarily of interest to competent authorities and firms that are subject to MiFID II and MiFIR – in particular, investment firms and credit institutions… |
| Documents |
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| From 22/05/2014 to 01/08/2014 |
Consultation Paper on MiFID II/MiFIR |
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SEE RESPONSES |
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| Summary |
Who should read this paper?
This document will be of interest to all stakeholders involved in the securities markets. It is primarily of interest to competent authorities and firms that are subject to MiFID II and MiFIR – in particular, investment firms and credit institutions… |
| Documents |
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| From 21/03/2014 to 30/05/2014 |
Draft Regulatory Technical Standards on major shareholdings and indicative list of financial instruments subject to notification requirements under the revised Transparency Directive |
Prospectus, Corporate Governance |
SEE RESPONSES |
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| Summary |
Responding to this paper
The European Securities and Markets Authority (ESMA) is seeking comments on all matters covered 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;… |
| Documents |
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| From 20/03/2014 to 22/05/2014 |
Draft Technical Standards for the Regulation on improving securities settlement in the European Union and on central securities depositories (CSD) |
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SEE RESPONSES |
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| Summary |
Responding to this paper
ESMA invites comments on all matters in this paper and in particular on the specific questions summarised in Annex IV. Comments are most helpful if they:
indicate the specific question to which the comment relates;
respond to the question stated;… |
| Documents |
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| From 13/02/2014 to 21/05/2014 |
ESMA Guidelines on Alternative Performance Measures |
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SEE RESPONSES |
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| Summary |
Reasons for publication
In October 2005, the Committee of European Securities Regulators (CESR), ESMA’s predecessor body, published a Recommendation on Alternative Performance Measures (“CESR Recommendation” CESR/05-178b). The CESR Recommendation was issued mainly in order to reinforce… |
| Documents |
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| From 11/02/2014 to 11/04/2014 |
Consultation Paper on CRA3 Implementation |
Credit Rating Agencies |
SEE RESPONSES |
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| Summary |
Responding to this paper
ESMA invites comments on all matters in this paper. Comments are most helpful if they:
contain a clear rationale;
include quantitative elements to support any concern; and
describe any alternatives ESMA should consider, including alternative… |
| Documents |
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| From 20/12/2013 to 31/01/2014 |
Revision of the provisions on diversification of collateral in ESMA’s guidelines on ETFs and other UCITS issues |
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SEE RESPONSES |
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| From 14/11/2013 to 27/01/2014 |
ESMA’s policy orientations on possible implementing measures under the Market Abuse Regulation |
Market Abuse, Market Integrity |
SEE RESPONSES |
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| Summary |
The European Securities and Markets Authority (ESMA) has published a Discussion Paper setting out its initial views on the implementing measures it will have to develop for the new Market Abuse Regulation (MAR).
MAR aims to enhance market integrity and investor protection. It will achieve… |
| Documents |
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| From 06/11/2013 to 07/02/2014 |
Draft guidelines for complaints-handling for the securities (ESMA) and banking (EBA) sectors |
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SEE RESPONSES |
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| Summary |
Reasons for publication
Consumers in the EU can purchase, and firms can offer, financial services and products in the investment, banking and insurance sectors across the EU Single Market. In order to increase market confidence of all participants, the Joint Committee of the three European… |
| Documents |
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| From 18/10/2013 to 15/11/2013 |
ESMA’s Technical Advice to the Commission on procedural rules to impose fines on Trade Repositories |
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| Summary |
Responding to this paper
The European Securities and Markets Authority (ESMA) is seeking comments on all matters covered in this paper.
Comments are most helpful if they:
• respond to the question stated;
• indicate the specific question to which the comment relates… |
| Documents |
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| From 19/07/2013 to 31/10/2013 |
Guidelines on enforcement of financial information |
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SEE RESPONSES |
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| Summary |
Responding to this paper
The European Securities and Markets Authority (ESMA) is seeking comments on all matters covered 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;
… |
| Documents |
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| From 17/07/2013 to 16/09/2013 |
Draft Regulatory Technical Standards on contracts having a direct, substantial and foreseeable effect within the Union and non-evasion of provisions of EMIR |
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SEE RESPONSES |
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| Summary |
The European Securities and Markets Authority (ESMA) has launched a consultation on draft regulatory technical standards (RTS) aimed at implementing the provisions of the European Markets Infrastructure Regulation (EMIR) related to OTC derivative transactions by non-European Union (EU)… |
| Documents |
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| From 12/07/2013 to 16/09/2013 |
Discussion Paper - The Clearing Obligation under EMIR |
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SEE RESPONSES |
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| Summary |
This template is made available to stakeholders who wish to respond to ESMA’s Discussion Paper on the Clearing Obligation under EMIR, reference ESMA/2013/925.
ESMA would like stakeholders to use the template in order to facilitate the analysis of the responses to this consultation. However… |
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