Consultations

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314 ALL CONSULTATIONS
Date Title Section Respond Info Summary Documents
From to ESMA Guidelines on Alternative Performance Measures

Reasons for publication

In October 2005, the Committee of European Securities Regulators (CESR), ESMA’s predecessor body, published a Recommendation on Alternative Performance Measures (“CESR Recommendation” CESR/05-178b). The CESR Recommendation was issued mainly in order to reinforce...

From to Consultation Paper on CRA3 Implementation Credit Rating Agencies

Responding to this paper

ESMA invites comments on all matters in this paper. Comments are most helpful if they:

contain a clear rationale;
include quantitative elements to support any concern; and
describe any alternatives ESMA should consider, including alternative...

From to Revision of the provisions on diversification of collateral in ESMA’s guidelines on ETFs and other UCITS issues
From to ESMA’s policy orientations on possible implementing measures under the Market Abuse Regulation Market Abuse, Market Integrity

The European Securities and Markets Authority (ESMA) has published a Discussion Paper setting out its initial views on the implementing measures it will have to develop for the new Market Abuse Regulation (MAR).

MAR aims to enhance market integrity and investor protection. It will achieve...

From to Draft guidelines for complaints-handling for the securities (ESMA) and banking (EBA) sectors

Reasons for publication
Consumers in the EU can purchase, and firms can offer, financial services and products in the investment, banking and insurance sectors across the EU Single Market. In order to increase market confidence of all participants, the Joint Committee of the three European...

From to ESMA’s Technical Advice to the Commission on procedural rules to impose fines on Trade Repositories

Responding to this paper

The European Securities and Markets Authority (ESMA) is seeking comments on all matters covered in this paper.

Comments are most helpful if they:

• respond to the question stated;

• indicate the specific question to which the comment relates...

From to Guidelines on enforcement of financial information

Responding to this paper

The European Securities and Markets Authority (ESMA) is seeking comments on all matters covered in this paper and in particular on the specific questions summarised in Annex 1.
Comments are most helpful if they:

respond to the question stated;
...

From to Draft Regulatory Technical Standards on contracts having a direct, substantial and foreseeable effect within the Union and non-evasion of provisions of EMIR

The European Securities and Markets Authority (ESMA) has launched a consultation on draft regulatory technical standards (RTS) aimed at implementing the provisions of the European Markets Infrastructure Regulation (EMIR) related to OTC derivative transactions by non-European Union (EU)...

From to Discussion Paper - The Clearing Obligation under EMIR

This template is made available to stakeholders who wish to respond to ESMA’s Discussion Paper on the Clearing Obligation under EMIR, reference ESMA/2013/925.
ESMA would like stakeholders to use the template in order to facilitate the analysis of the responses to this consultation. However...

From to Discussion Paper on CRA3 Implementation Credit Rating Agencies

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),...

From to Draft Regulatory Technical Standards on information requirements for assessment of acquisitions and increases in holdings in investment firms (MiFID)

Contact

mifid[at]esma.europa.eu

From to Consultation on guidelines on AIFMD reporting obligations

 

From to Consultation on RTS on specific situations that require the publication of a supplement to the prospectus Prospectus

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...

From to Consultation on ESMA’s Technical Advice to the Commission on Fees for Trade Repositories

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...

From to Call for evidence on the evaluation of the Regulation on short selling and certain aspects of credit default swaps Short Selling

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...

From to Consultation on Principles for Benchmarks-Setting Processes in the EU Benchmarks

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...

From to Consultation on Guidelines for establishing consistent, efficient and effective assessments of interoperability arrangements

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...

From to Consultation on Guidelines and recommendations on the scope of the CRA Regulation Credit Rating Agencies

Consultation on Guidelines and recommendations on the scope of the CRA Regulation

From to Consultation on Guidelines on key concepts of the AIFMD

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...

From to Consultation on Draft regulatory technical standards on types of AIFMs

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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