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Consultations

Section

313 ALL CONSULTATIONS

Date	Title	Section	Respond	Info	Summary	Documents
From 31/07/2015 to 14/10/2015	Consultation on draft regulatory technical standards under the ELTIF Regulation				Responding to this paper ESMA invites comments on all matters in this paper and in particular on the specific questions summarised in Annex I. Comments are most helpful if they:1. respond to the question stated;2. indicate the specific question to which the comment relates;3. ...	form_to_reply_cp_eltif_rts.docx 2015-1239.pdf
From 23/07/2015 to 23/10/2015	Guidelines on sound remuneration policies under the UCITS Directive and AIFMD	Fund Management			Responding to this paper ESMA invites comments on all matters in this paper and in particular on the specific questions summarised in Annex II. Comments are most helpful if they: 1. respond to the question stated; 2. indicate the specific question to which...	2015-1172_cp_on_ucits_v_u_aifmd_remuneration_guidelines.pdf form_to_reply_ucits_v_aimfd_rem-2015-1210.docx
From 30/06/2015 to 06/08/2015	Consultation on Draft Regulatory Technical Standards on the CSD Regulation				Responding to this paper ESMA 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:1. respond to the question stated;2. indicate the specific question to which the comment relates;3. ...	2015-1065.pdf
From 23/06/2015 to 17/08/2015	Joint Committee consultation on Key Information Document for PRIIPS				EBA, EIOPA, and ESMA (the ESAs) welcome comments on this Technical Discussion Paper on Risk, Performance Scenarios and Cost Disclosures in Key Information Documents for Packaged Retail and Insurance-based Investment Products (PRIIPs).The discussion paper is available on the websites of the three...	form_to_reply_tdp_priips.docx jc_dp_2015_01.pdf
From 08/06/2015 to 27/07/2015	Call for evidence - Impact of the Best Practice Principles for Providers of Shareholder Voting Research and Analysis	Corporate Governance			Responding to this Call for Evidence ESMA invites comments on all matters in this paper and in particular on the specific questions presented throughout the paper. Comments are most helpful, if they:a. respond to the question stated;b. indicate the specific question to which they...	2015-920.pdf
From 11/05/2015 to 15/07/2015	Consultation No 4 on the Clearing Obligation under EMIR				Responding to this paper The European Securities and Markets Authority (ESMA) invites responses to the questions listed in this Consultation Paper on the Clearing Obligation under EMIR (no.4).All contributions should be submitted online at www.esma.europa.eu under the heading ‘Your input...	esma-2015-807_-_reply_form_for_the_consultation_paper_no_4_on_the_clearing_obligation_irs_2.docx esma-2015-807_-_consultation_paper_no_4_on_the_clearing_obligation_irs_2.pdf
From 23/04/2015 to 10/07/2015	Draft guidelines for the assessment of knowledge and competence				Responding to this paper ESMA invites stakeholders to provide information on all matters in this paper and in particular on the specific questions summarised in Annex 1. Responses are most helpful if they: • respond to the question stated; • indicate the specific question to...	2015-753_cp_mifid_guidelines_on_knowledge_and_competence.pdf
From 22/04/2015 to 21/07/2015	Investment using virtual currency or distributed ledger technology				Responding to this paper ESMA invites stakeholders to provide information on all matters in this paper and in particular on the specific questions summarised in Annex 1. Responses are most helpful if they: • respond to the question stated; • contain a clear rationale; ...	2015-532_call_for_evidence_on_virtual_currency_investment.pdf
From 24/03/2015 to 15/06/2015	Consultation on draft guidelines on complex debt instruments and structured deposits				Who should read this paper This paper is primarily of interest to competent authorities and firms that are subject to MiFID, in particular, investment firms and credit institutions performing investment services and activities. This paper is also important for trade associations,...	2015-610_cp_mifid_guidelines_complex_products.pdf
From 20/03/2015 to 20/05/2015	Call for evidence on private and bilateral SFIs	Credit Rating Agencies			This call for evidence should be read by all those involved in the EU securitisation markets. It is particularly targeted at the following market participants and the groups and trade associations who represent them: • Issuers, originators and sponsors of Structured Finance Instruments...	esma-2015-558_call_for_evidence_on_private_and_bilateral_sfis.pdf
From 18/02/2015 to 20/03/2015	Addendum Consultation Paper on MiFID II/MiFIR				18/02/2015 to 20/03/2015 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...	2015-319_cp_addendum_mifid_ii-mifir.pdf
From 03/02/2015 to 31/03/2015	Call for Evidence Competition, Choice and Conflicts of Interests in the CRA Industry	Credit Rating Agencies			The European Securities and Markets Authority (ESMA) has published a call for evidence as part of the development of Technical Advice for the European Commission on the functioning of the credit rating industry and the evolution of the markets for structured finance instruments as required by...	esma2015-233_call_for_evidence_competition_choice_and_conflicts_of_interests_in_the_cra_industry.pdf
From 23/12/2014 to 27/03/2015	Discussion Paper - Share Classes of UCITS				Responding to this paper ESMA 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: 1. respond to the question stated; 2. indicate the specific question to which the comment relates...	2014-1577_dp_on_share_classes_for_publication.pdf
From 23/12/2014 to 13/03/2015	Discussion Paper - The Use of Credit Ratings by Financial Intermediaries Article 5(a) of the CRA Regulation	Credit Rating Agencies, Joint Committee			Responding to this paper EBA, ESMA and EIOPA (the ESAs) invite comments on all matters of this discussion paper and, in particular, on the specific questions listed in Annex I. Comments are most helpful if they: • indicate the number of the question to which the comments...	jc_dp_2014_01_-_discussion_paper_on_use_of_credit_ratings_by_financial_intermediaries.pdf
From 19/12/2014 to 30/03/2015	Consultation on Draft Regulatory Technical Standards on European Electronic Access Point (EEAP)				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:1. respond to the question stated;2. indicate the specific question to which the comment relates;3. ...	2014-1566_consultation_paper_on_the_draft_rts_on_the_eeap.pdf
From 19/12/2014 to 02/03/2015	Consultation on MiFID II/MiFIR				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, credit institutions performing...	2014-1570_cp_mifid_ii_part_2.pdf consultation_paper-annex_a_cba_final.pdf 2014-1570_cp_mifid_ii.pdf
From 18/12/2014 to 19/02/2015	Consultation on Technical Standards under the CSD Regulation				Who should read this paperThis document will be of interest to all stakeholders involved in the securities markets. CSDR and the related technical standards will affect not only CSDs but also their participants, CCPs, and other entities, directly (e.g. settlement internalisers subject to the...	2014-1563_csdr_ts.pdf
From 18/12/2014 to 19/02/2015	Consultation on Technical Advice under the CSD Regulation				Who should read this paperThis document will be of interest to all stakeholders involved in the securities markets, in particular CSDs, CSD participants, CCPs, market participants, and issuers.Responding to this paperESMA invites comments on all matters in this paper and in particular on the...	2014-1564_csdr_ta.pdf
From 18/12/2014 to 19/02/2015	Consultation on Guidelines on Access to a CCP or a Trading Venue by a CSD				Who should read this paperThis document will be of interest especially to central securities depositories (CSDs), central counterparties (CCPs), trading venues and their competent authorities, in the context of access to a CCP or a trading venue by a CSD in accordance with Article 53 of...	2014-1565_csdr_gl.pdf
From 01/12/2014 to 30/01/2015	Consultation on Guidelines on asset segregation under the AIFMD				Who should read this paper his document will be of interest to (i) depositaries of alternative investment funds and their delegates (including prime brokers and collateral managers) and their trade associations, (ii) alternative investment funds managers and their trade associations, as...	2014-1326_cp_-_guidelines_on_aifmd_asset_segregation.pdf