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Consultations

Section

313 ALL CONSULTATIONS

Date	Title	Section	Respond	Info	Summary	Documents
From 11/02/2014 to 11/04/2014	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...	2014-150_consultation_paper_on_cra3_implementation_0.pdf
From 20/12/2013 to 31/01/2014	Revision of the provisions on diversification of collateral in ESMA’s guidelines on ETFs and other UCITS issues					2013-1974_cp_guidelines_etfs_and_other_ucits_issues_for_publication_0.pdf
From 14/11/2013 to 27/01/2014	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...	2013-1649_discussion_paper_on_market_abuse_regulation_0.pdf
From 06/11/2013 to 07/02/2014	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...	jc-cp-2013-03_draft_guidelines_for_complaints-handling.pdf
From 18/10/2013 to 15/11/2013	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...	2013-1292_cp_on_technical_advice_to_the_commission_re_trade_repositories_fining_procedures.pdf
From 19/07/2013 to 31/10/2013	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; ...	2013-1013_consultation_paper_-_guidelines_on_enforcement_of_financial_information.pdf
From 17/07/2013 to 16/09/2013	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)...	2013-892_draft_rts_of_emir.pdf
From 12/07/2013 to 16/09/2013	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...	2013-925_discussion_paper_-_the_clearing_obligation_under_emir_0.pdf
From 10/07/2013 to 10/10/2013	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),...	2013-891_discussion_paper_on_cra3_implementation.pdf
From 08/07/2013 to 09/09/2013	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	2013-918_cp_draft_rts_information_reqs_assessment_acquisitions_20130708.pdf
From 24/05/2013 to 01/07/2013	Consultation on guidelines on AIFMD reporting obligations					annex_vi_-_xml_documentation_-_consultation_paper_on_esma_guidelines_on_aifmd_reporting_for_publication.zip 2013-592_consultation_paper_on_esma_guidelines_on_aifmd_reporting_for_publication.pdf
From 15/03/2013 to 28/06/2013	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...	2013-316.pdf
From 20/02/2013 to 06/03/2013	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...	2013-219.pdf
From 12/02/2013 to 15/03/2013	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...	2013-214.pdf 2013-203.pdf
From 11/01/2013 to 15/02/2013	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...	2013-13.pdf 2013-12.pdf
From 20/12/2012 to 31/01/2013	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...	2012-852.pdf
From 20/12/2012 to 20/02/2013	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	2012-841.pdf
From 19/12/2012 to 01/02/2013	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...	2012-844.pdf
From 19/12/2012 to 01/02/2013	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...	2012-845.pdf
From 01/10/2012 to 21/12/2012	Consultation on amendments to ESMA's recommendations regarding mineral companies	Prospectus			In March 2011 ESMA updated and revised paragraphs 131-133 of the CESR Recommendations on the con-sistent implementation of Commission Regulation (EC) No 809/2004 implementing the Prospectus Di-rective (hereinafter the “Recommendations”) which address the information that should be disclosed by...	2012-607.pdf