| From 10/07/2013 to 10/10/2013 |
Discussion Paper on CRA3 Implementation |
Credit Rating Agencies |
SEE RESPONSES |
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The European Securities and Markets Authority (ESMA) has published a Discussion Paper dealing with the implementation of the CRA3 Regulation, which entered into force on 20 June 2013.
The Regulation, which complements the existing regulatory framework for credit rating agencies (CRAs),… |
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| From 08/07/2013 to 09/09/2013 |
Draft Regulatory Technical Standards on information requirements for assessment of acquisitions and increases in holdings in investment firms (MiFID) |
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SEE RESPONSES |
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| Summary |
Contact
mifid[at]esma.europa.eu
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| From 24/05/2013 to 01/07/2013 |
Consultation on guidelines on AIFMD reporting obligations |
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| From 15/03/2013 to 28/06/2013 |
Consultation on RTS on specific situations that require the publication of a supplement to the prospectus |
Prospectus |
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| Summary |
The Consultation Paper sets out a draft Regulatory Technical Standard concerning situations that require the systematic publication of a supplement to the prospectus which the European Securities and Markets Authority (ESMA) is obliged to develop in accordance with Article 16(3) of the… |
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| From 20/02/2013 to 06/03/2013 |
Consultation on ESMA’s Technical Advice to the Commission on Fees for Trade Repositories |
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On 14 January 2013 ESMA received a formal request from the European Commission (the Commission) to provide technical advice to assist the Commission in formulating a Regulation on fees for Trade Repositories (TRs) by a delegated act. (Annex I)
In order to deliver its advice to the… |
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| From 12/02/2013 to 15/03/2013 |
Call for evidence on the evaluation of the Regulation on short selling and certain aspects of credit default swaps |
Short Selling |
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In order to prepare its technical advice on the effects of the SSR, ESMA is inviting investors, market participants and any other interested stakeholders to provide responses to the questions outlined in the Call for Evidence by 15 March.ESMA’s advice is expected to be delivered to the EC by 31… |
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| From 11/01/2013 to 15/02/2013 |
Consultation on Principles for Benchmarks-Setting Processes in the EU |
Benchmarks |
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In response to concerns regarding the perceived weaknesses in current arrangements for benchmark rate-setting, ESMA and the EBA have also developed a set of Principles to address the activities of reference-rate and other benchmark providers, administrators, publishers and market participants… |
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| From 20/12/2012 to 31/01/2013 |
Consultation on Guidelines for establishing consistent, efficient and effective assessments of interoperability arrangements |
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This paper is published to consult on draft ESMA guidelines issued in accordance with Article 16(2) of Regulation (EU) No 1095/2010 (ESMA Regulation) and as required under Article 54(4) of Regulation (EU) 648/2012 on OTC derivatives, central counterparties and trade repositories (the Regulation… |
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| From 20/12/2012 to 20/02/2013 |
Consultation on Guidelines and recommendations on the scope of the CRA Regulation |
Credit Rating Agencies |
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| Summary |
Consultation on Guidelines and recommendations on the scope of the CRA Regulation
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| From 19/12/2012 to 01/02/2013 |
Consultation on Draft regulatory technical standards on types of AIFMs |
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Article 4(4) of the AIFMD (see Annex II to this paper for the full text of this Article) provides that ESMA shall develop draft regulatory technical standards (RTS) to determine types of AIFMs, where relevant in the application of the AIFMD, and to ensure uniform conditions of application of the… |
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| From 19/12/2012 to 01/02/2013 |
Consultation on Guidelines on key concepts of the AIFMD |
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On 23 February 2012, ESMA published a discussion paper on key concepts of the Alternative Investment Fund Managers Directive and types of AIFM (ESMA/2012/117) which covered a number of topics relevant inter alia for the development of the draft regulatory technical standards (RTS) that ESMA… |
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| From 01/10/2012 to 21/12/2012 |
Consultation on amendments to ESMA's recommendations regarding mineral companies |
Prospectus |
SEE RESPONSES |
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In March 2011 ESMA updated and revised paragraphs 131-133 of the CESR Recommendations on the con-sistent implementation of Commission Regulation (EC) No 809/2004 implementing the Prospectus Di-rective (hereinafter the “Recommendations”) which address the information that should be disclosed by… |
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| From 17/09/2012 to 07/12/2012 |
Consultation on Guidelines on remuneration policies and practices (MiFID) |
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The Guidelines aim to strengthen investor protection by seeking to improve the implementation of the MiFID rules on conflicts of interest, and thereby preventing mis-selling of products. The Guidelines will apply to investment firms, credit institutions, fund management companies when… |
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| From 17/09/2012 to 05/10/2012 |
Exemption for market making activities and primary market operations under Regulation (EU) 236/2012 of the European Parliament and the Council on short selling and certain aspects of Credit Default Swaps |
Short Selling |
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| Summary |
The purpose of these guidelines is to:
- Assist the notifying entity in the notification process, by specifying and describing the con-tent of the written notification and providing a template notification form;- Develop a common approach to submitting the notification form, assessing… |
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| From 31/08/2012 to 05/10/2012 |
Joint consultation on Draft Regulatory Technical Standards on the uniform conditions of application of the calculation methods under Article 6.2 of the Financial Conglomerates Directive |
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Please send your comments to the EBA, EIOPA and ESMA by email to joint-committee@eba.europa.eu, jointcommittee@eiopa.europa.eu and joint.committee@esma.europa.eu by 05.10.2012, indicating the reference ‘JC CP 2012 02’ in the subject field.
Please note that comments submitted after the… |
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| From 25/07/2012 to 25/09/2012 |
Consultation on the treatment of repurchase and reverse repurchase agreements |
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ESMA is seeking views on the appropriate treatment of repo and reverse repo arrangements in the context of the guidelines on ETFs and other UCITS issues.
This consultation paper sets out ESMA’s proposal for the treatment of repo and reverse repo arrange-ments. ESMA proposes a distinct… |
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| From 28/06/2012 to 27/09/2012 |
Consultation on Guidelines on sound remuneration policies under the AIFMD |
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Annex II of the AIFMD establishes a set of rules (largely inspired from the provisions of Directive 2006/48/EC, the “CRD”) with which AIFMs have to comply when establishing and applying the remuneration policies for certain categories of their staff. Article 13(2) of the AIFMD requires ESMA to… |
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| From 25/06/2012 to 05/08/2012 |
Consultation on the Draft Technical Standards for the Regulation on OTC Derivatives, CCPs and Trade Repositories |
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SEE RESPONSES |
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This consultation paper includes the Regulatory and Implementing Technical Standards ESMA is required to draft under the Regulation of the European Parliament and Council on OTC derivatives, central counterparties and trade repositories (EMIR). It covers implementing measures for the application… |
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| From 20/06/2012 to 20/08/2012 |
ESMA’s technical advice on possible delegated acts concerning the Prospectus Directive as amended by the Directive 2010/73/EU |
Prospectus |
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The purpose of this Consultation Paper (CP) from ESMA is to seek comments on the third part of the technical advice that ESMA proposes to submit to the European Commission on a number of possible delegated acts.
ESMA will consider the feedback it has received in relation to this… |
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| From 14/05/2012 to 13/08/2012 |
EBA, EIOPA and ESMA consult on Commission’s Review of the Financial Conglomerates Directive |
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Following the close of this consultation, the ESAs have publised a feedback statement.
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