| From 07/05/2012 to 04/06/2012 |
Call for evidence on transaction reporting |
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SEE RESPONSES |
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This call for evidence seeks to collect interested parties’ views on what elements ESMA should consider in its work on guidelines on harmonised transaction reporting, as well as opinions on what areas of the OTC derivatives guidelines need to be updated. On the basis of responses received to… |
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| From 22/03/2012 to 25/06/2012 |
Consultation on the DP - An Overview of the Proxy Advisory Industry. Considerations on Possible Policy Options |
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This Discussion Paper focuses on the development of the proxy advisory industry in Europe, which mainly serves institutional investors such as asset managers, mutual funds and pension funds. Following its fact-finding work in 2011, ESMA recognises the proxy advisory industry within Europe is, or… |
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| From 06/03/2012 to 02/04/2012 |
Joint Discussion Paper on Draft Regulatory Technical Standards on risk mitigation techniques for OTC derivatives not cleared by a CCP under the Regulation on OTC derivatives, CCPs and Trade Repositories |
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| Summary |
EBA, EIOPA and ESMA (the ESAs) invite market participants and all interested stakeholders to provide their feedback on planned regulatory technical standards covering risk mitigation techniques for OTC derivatives not cleared by central counterparties. The EMIR Regulation (“the Regulation”) on… |
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| From 23/02/2012 to 23/03/2012 |
Key concepts of the Alternative Investment Fund Managers Directive and types of AIFM |
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| Summary |
Responses to this discussion paper will help ESMA in finalising its policy approach. In light of the feedback received, ESMA will develop a consultation paper in Q2 2012 setting out formal proposals for draft regulatory technical standards on Article 4(4) of the AIFMD. The results of that public… |
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| From 16/02/2012 to 19/03/2012 |
Consultation on Draft Technical Standards for the Regulation on OTC Derivatives, CCPs and Trade Repositories |
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The Regulation of the European Parliament and Council on OTC Derivatives, CCPs and trade repositories (EMIR) introduces provisions to improve transparency and reduce the risks associated with the OTC derivatives market and establishes common rules for central counterparties (CCPs) and for trade… |
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| From 15/02/2012 to 11/03/2012 |
Consultation on ESMA's draft technical advice on possible Delegated Acts concerning the regulation on short selling and certain aspects of credit default swaps ((EC) No XX/2012) |
Short Selling |
SEE RESPONSES |
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| Summary |
The purpose of this consultation is to seek comments on the technical advice
that ESMA proposes to give to the European Commission on a number of possible
delegated acts concerning the Regulation as listed in the Commission request
for advice. These delegated acts should then… |
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| From 30/01/2012 to 30/03/2012 |
Consultation on ESMA guidelines for the regulatory framework for ETFs and other UCITS issues |
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ESMA publishes today a consultation paper (ESMA/2012/44) setting out future guidelines on UCITS Exchange-Traded Funds (UCITS ETFs) and other UCITS-related issues. The proposals cover both synthetic and physical UCITS ETFs and detail the obligations to come for UCITS ETFs, index-tracking UCITS,… |
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| From 24/01/2012 to 13/02/2012 |
Draft technical standards on short selling and certain aspects of credit default swaps |
Short Selling |
SEE RESPONSES |
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| Summary |
In November 2011 the Council and the Parliament voted on a Regulation on
short selling and certain aspects of credit default swaps (the Regulation).
This is about to be published and should be applicable from 1 November 2012.
According to the Regulation ESMA has to submit its… |
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| From 22/12/2011 to 24/02/2012 |
Guidelines on certain aspects of the MiFID compliance function requirements |
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Guidelines on certain aspects of the MiFID compliance function requirements
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| From 22/12/2011 to 24/02/2012 |
Consultation paper on guidelines on certain aspects of the MiFID suitability requirements |
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Consultation paper on guidelines on certain aspects of the MiFID suitability requirements
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| From 13/12/2011 to 06/01/2012 |
ESMA’s technical advice on possible delegated acts concerning the Prospectus Directive as amended by the Directive 2010/73/EU |
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SEE RESPONSES |
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| Summary |
The purpose of this consultation document from ESMA is to seek comments on the technical advice that ESMA proposes to give to the European Commission on a number of possible delegated acts.
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| From 10/11/2011 to 30/03/2012 |
Consultation on Considerations of materiality in financial reporting |
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SEE RESPONSES |
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| Summary |
The objective of financial statements is to provide information to a range of users for the purpose of economic decision making. To be useful, such statements must present fairly the financial position, perform-ance and cash flows of the reporting entity. Where information which is required by… |
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| From 19/09/2011 to 21/10/2011 |
Consultation on Regulatory technical standards on the information to be provided to ESMA by a credit rating agency in its application for registration and certification and for the assessment of its systemic importance |
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This Consultation Paper aims at presenting the draft RTS. For the purpose of preparing the RTS, ESMA carried out a Cost and Benefits Analysis (hereafter
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| From 19/09/2011 to 21/10/2011 |
Consultation on Regulatory technical standards on the assessment of compliance of credit rating methodologies with the requirements set out in Article 8(3) of Regulation (EC) No 1060/2009
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Article 21(4) of Regulation (EU) No 513/2011 of the European Parliament and of the Council of 11 May 2011 amending Regulation (EC) No 1060/2009 on credit rating agencies (EU Regulation) requires ESMA to develop draft regulatory technical standards on the assessment of compliance of credit rating… |
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| From 19/09/2011 to 21/10/2011 |
Consultation on ESMA's draft Regulatory Technical Standards on the presentation of the information that credit rating agencies shall disclose in accordance with Article 11(2) and point 1 of Part II of Section E of Annex I to Regulation (EC) No 1060/2009 |
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Credit rating agencies are required to report data to a central repository (CEREP) run by ESMA. The very purpose of this CEREP is to improve transparency and to contribute to the protection of investors by providing information on the past performance of credit rating agencies and about credit… |
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| From 19/09/2011 to 21/10/2011 |
Consultation on ESMA's Draft Regulatory Technical Standards on the content and format of ratings data periodic reporting to be submitted from credit rating agencies |
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The reason for requiring periodic reporting of ratings data from credit rating agencies is to enable ESMA to use this data as a basis for its supervisory reviews and, in general, to support the tasks that ESMA shall carry out in order to discharge its obligations under the Regulation.
The… |
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| From 14/09/2011 to 25/11/2011 |
Call for evidence on Empty voting |
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SEE RESPONSES |
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| Summary |
In recent years there has been discussion on possible regulatory reaction to the decoupling of voting rights. In this context, issues and potential problems relating to empty voting (i.e. having voting rights attached to shares without corresponding economic exposure) have also been raised.… |
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| From 23/08/2011 to 23/09/2011 |
Consultation on ESMA's draft technical advice to the European Commission on possible implementing measures of the Alternative Investment Fund Managers Directive in relation to supervision and third countries |
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ESMA publishes today a consultation paper (ESMA/2011/270) setting out its proposals for the detailed rules on supervision and third country entities underlying the Alternative Investment Fund Managers Directive (AIFMD). These rules reflect the global nature of the alternative investment… |
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| From 22/07/2011 to 22/09/2011 |
Discussion paper on ESMA's policy orientations on guidelines for UCITS Exchange-Traded Funds and Structured UCITS |
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ESMA publishes today a discussion paper (ESMA/2011/220) setting out policy orientations on guidelines for UCITS Exchange-Traded Funds (ETFs) and structured UCITS. The Authority has reviewed the current regulatory regime applicable to such funds and considers that the existing requirements are… |
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| From 20/07/2011 to 03/10/2011 |
Consultation on the Guidelines on systems and controls in a highly automated trading environment for trading platforms, investment firms and competent authorities |
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ESMA publishes a consultation paper (ESMA/2011/224) today setting out its proposals for detailed guide-lines for trading platforms, investment firms and competent authorities to address challenges of a highly automated trading environment, of which high frequency trading (HFT) is an important… |
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