Consultations

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340 ALL CONSULTATIONS
Date Title Section Respond Info Summary Documents
From to Consultation on CESR's technical advice at level 2 on Risk Measurement for the purposes of the calculation of UCITS' global exposure

On 13 February 2009 the European Commission submitted a provisional request to CESR for technical advice on the content of the implementing measures concerning the future UCITS recast Directive. The provisional mandate might have to be completed or supplemented following the adoption of the new...

From to Call for evidence on mutual recognition with non-EU jurisdictions
From to Consultation on MiFID complex and non-complex financial instruments for the purposes of the Directive's appropriateness requirements

The Markets in Financial Instruments Directive (MiFID) includes conduct of business requirements applying to a range of investment services. In certain respects, concerning investment firms' obligations to their clients and the information they must ask of clients, the approach and detail of...

From to CESR/ESCB Consultation on the draft Recommendations for Central Counterparties 1-2, 4-8, 14, and 15 revised for CCPs clearing OTC derivatives

On 3 June 2008 the Economic and Financial Affairs Council of the European Union (ECOFIN Council) invited the ESCB and CESR to adapt and finalise the ESCB-CESR

From to Consultation on technical issues relating to Key Information Document (KID) disclosures for UCITS

Since the Commission requested CESR's assistance on developing KII disclosures in April 2007, CESR has been working intensively to prepare its response, in parallel with the finalisation of the revised UCITS Directive at Level 1.

6. The first output of CESR's work was a set of advice that...

From to Consultation on Proposals for the Review Panel Work Plan

The Committee of European Securities Regulators (

From to Call for evidence on possible implementing measures of the future UCITS directive

On 13 January 2009 the European Parliament adopted in plenary session a proposal for a Directive containing amendments to the UCITS Directive (85/611/EEC) . This followed approval by the Council of an identical compromise text at a COREPER meeting of 17 December 2008 (the Council's final...

From to Call for evidence on the technical standards to identify and classify OTC derivative instruments for TREM; CESR's transaction reporting exchange mechanism

According to Article 25(3) of the Markets in Financial Instruments Directive (MiFID) , investment firms shall report details of transactions executed in financial instruments admitted to trading on a regulated market to their competent authorities.

The aim of this call for evidence is to...

From to Call for evidence on regulation on short-selling by CESR Members

The task force has reported to CESR and has been mandated to conduct work on the following:
1) Assess the impact of the measures that were introduced by CESR Members;
2) Consider the range of policy options for taking a more convergent approach; and
3) Enhance the coordination...

From to Public review of CESR's preliminary draft advice on access and interoperability arrangements

In response to various calls for an opportunity to review CESR's preparation for the draft advice, the preliminary draft is now published for public review for a period of one month, ending 16 January. After this period, the advice will be finalized and submitted to the European Commission.

From to Consultation on transparency of corporate bond, structured finance products and credit derivatives markets

The objective of the consultation paper is, on the one hand, to review whether the CESR‟s original conclusions in August 2007 on trade transparency in the bond markets remain appropriate in light of experiences from the recent market turmoil. On the other hand, the paper is part of the work of...

From to Call for evidence on the review of the scope of the MIFID transaction reporting obligation

In May 2007, CESR published the CESR Level 3 Guidelines on MiFID transaction reporting (Ref. CESR/07-301). The guidelines covered non-technical issues where there was a need for a harmonised approach by CESR Members: transaction reporting by branches; scope of the transaction reporting...

From to Call for evidence on the impact of MiFID on secondary markets functioning

In the secondary markets area, MiFID is designed to foster competition among trading venues on the basis of a regulatory level playing field and in an environment of market transparency aimed at supporting market efficiency and investor protection.

One year on, CESR considers it...

From to Consultation on CESR/ESCB draft recommendations for securities settlement systems, and draft recommendations for central counterparties

CESR and the ESCB publish these draft recommendations for public consultation in the context of the joint work being undertaken by the ESCB and the CESR in the field of securities clearing and settlement. Part 1 of the consultation paper contains 19 recommendations, which deal with central...

From to Consultation on CESR and ERGEG advice to the European Commission in the context of the Third Energy Package

CESR and ERGEG would welcome responses to the questions raised in this consultation paper, or other comments on the subject of this paper, which should be provided by 24 November 2008.

All contributions shall be submitted via e-mail to ERGEG (mail to fis@ergeg.org) and online via CESR

From to Consulation on MAD Level 3

CESR is continuing in its efforts to prepare ground for convergent implementation and application of the Market Abuse regime by ensuring that a common approach to the operation of the Directive takes place throughout the EU amongst supervisors. In July 2007, CESR confirmed that CESR-Pol will...

From to Consulation on CESR's technical advice to the European Commission on Indian GAAP

CESR provides in this advice details of its work and conclusions concerning the equivalence of Indian GAAP in accordance with a mandate from the European Commission.

CESR expects to submit the final advice to the Commission in early November.

From to Consultation paper on UCITS Management Company Passport

Pursuant to Directive 85/611/EEC, a UCITS, its management company and its depositary must be located in the same Member State. All activities related to collective portfolio management and administration of the UCITS are subject to the law of one Member State (ie the Member State in which the...

From to Call for evidence on a formal request for technical advice on identification of regulatory arrangements for post-trading infrastructures

This call for evidence aims to identify regulatory arrangements for post-trading infrastructures and to advise on possible solutions in terms of bridging any potential differences in post-trading arrangements in the Member States.

From to Consulation on Risk management principles for UCITS

This consultation paper proposes a framework for guidelines concerning risk management, providing principles and an outline of the key elements for a standard in the risk management process. The principles will be complemented by a paper on the aforesaid technical and quantitative issues related...

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