Consultations

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342 ALL CONSULTATIONS
Date Title
Section Respond Info Summary Documents
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 Questionnaire on Assessment of CESR's activities between 2001 and 2007

Following nearly six years since the creation of CESR (which took place in September 2001), CESR is undertaking a comprehensive review to assess its effectiveness over this period. To do this, CESR publishes today a questionnaire for interested stakeholders to provide CESR with feedback and...

From to Questionnaire on simplified prospectus for retail investors

The Simplified Prospectus (SP) is a disclosure document designed for retail clients buying units in a UCITS, to provide them with the information they need to make informed decisions about whether to invest in a particular fund or product. The full Prospectus is considered too long and technical...

From to Questionnaire on the day-to-day application of the IOSCO code by the Credit Rating Agencies

On 30 March 2005, at the request of the European Commission, CESR delivered its advice (CESR/05-139b) regarding the potential options to regulate Credit Rating Agencies. In its advice, CESR proposed not to regulate the Credit Rating Agencies (CRAs) industry at an EU level for the time being, and...

From to Questionnaire on the rating of structured finance instruments

As previously announced in its public statement (CESR 07-304), CESR is in the process of preparing its second annual report on the credit rating agencies' (CRAs) compliance with the IOSCO Code of Conduct.

To this effect, CESR is publishing today a questionnaire regarding the rating of...

From to Request for comments on the First Interim Report by the Review Panel

CESR welcomes views from all interested parties on the First Interim Report by the Review Panel, covering the level of implementation of the Standards for Investor Protection and Alternative Trading Systems. Comments are welcomed by 30 April 2004.

From to Revision of the provisions on diversification of collateral in ESMA’s guidelines on ETFs and other UCITS issues
From to Second call for evidence to the consultation paper on possible implementing measures of the future Prospectus Directive
From to Second consultation on CESR's Draft Advice on Clarification of Definitions concerning Eligible Assets for Investments of UCITS

On 18th March 2005 CESR published its first consultation paper on its draft technical advice
(CESR/05-064b). The public consultation closed on 10th June 2005. CESR received a high
number of responses (more than 50).
The Commission asked originally CESR to deliver its technical...

From to Second consultation on Inducements under MiFID

In its consultation paper Inducements under MiFID published in December 2006 (CESR/06-687) CESR explained that it was considering issuing recommendations setting out a common supervisory approach to the operation of Article 26 of the MiFID Level 2 Directive , entitled "Inducements".
In...

From to Second Consultation Paper on CESR's Draft Technical Advice on Possible Implementing Measures of the Directive 2004/39/EC on Markets in Financial Instruments

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...

From to Second Consultation paper on the first set of mandates regarding possible implementing measures for the Market in Financial Instruments Directive

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...

From to Second consultation regarding CESR's guidelines for supervisors regarding the notification procedure according to Section VIII of UCITS

Having listened to the comments from market participants during the first round of consultation and following careful consideration, CESR launches a second consultation on the guidelines for supervisors regarding the notification procedure according to Section VIII of UCITS
An Open...

From to Second part of CESR's advice on possible implementing measures of the Transparency Directive

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;
-...

From to Technical Advice on Comparable Compliance under article 25a of EMIR Post Trading

Responding to this paper

ESMA invites comments on all matters in this paper and in particular on the specific questions summarised in Annex III. Comments are most helpful if they:

  • respond to the question stated;
  • indicate the specific question to...
From to Technical advice to the Commission on fees for TRs under SFTR and on certain amendments of for fees under EMIR Post Trading

Reasons for publication

On 15 January 2016 the European Securities and Markets Authority (ESMA) received a formal request from the European Commission (Commission) to provide technical advice to assist the Commission in formulating a Regulation on fees for Trade...

From to The Committee of European Securities Regulators (CESR) and the European System of Central Banks (ESCB) joint consultation on Standards for Securities Clearing & Settlement Systems in the European Union
From to The role of CESR at 'Level 3' under the Lamfalussy process

This consultation paper aims at presenting the views of the Committee of European Securities Regulators (CESR) on how it should organize its role at level 3 under the Lamfalussy procedure. The paper is structured in two parts. The first section provides an introduction and description of the...

From to The role of CESR in the regulation and supervision of UCITS and asset management in the EU
From to Update of the guidelines on the application of the endorsement regime under Article 4(3) of the CRA Regulation Credit Rating Agencies

Responding to this paper

The European Securities and Markets Authority (ESMA) invites responses to the specific questions listed in Consultation Paper on update of the guidelines on the application of the endorsement regime under Article 4(3) of the Credit Rating Agencies Regulation (CRA...

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