Consultations

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302 ALL CONSULTATIONS
Date Title Section Respond Info Summary Documents
From to Key concepts of the Alternative Investment Fund Managers Directive and types of AIFM

Responses to this discussion paper will help ESMA in finalising its policy approach. In light of the feedback received, ESMA will develop a consultation paper in Q2 2012 setting out formal proposals for draft regulatory technical standards on Article 4(4) of the AIFMD. The results of that public...

From to Consultation on Draft Technical Standards for the Regulation on OTC Derivatives, CCPs and Trade Repositories

The Regulation of the European Parliament and Council on OTC Derivatives, CCPs and trade repositories (EMIR) introduces provisions to improve transparency and reduce the risks associated with the OTC derivatives market and establishes common rules for central counterparties (CCPs) and for trade...

From to Consultation on ESMA's draft technical advice on possible Delegated Acts concerning the regulation on short selling and certain aspects of credit default swaps ((EC) No XX/2012) Short Selling

The purpose of this consultation is to seek comments on the technical advice
that ESMA proposes to give to the European Commission on a number of possible
delegated acts concerning the Regulation as listed in the Commission request
for advice. These delegated acts should then...

From to Consultation on ESMA guidelines for the regulatory framework for ETFs and other UCITS issues

ESMA publishes today a consultation paper (ESMA/2012/44) setting out future guidelines on UCITS Exchange-Traded Funds (UCITS ETFs) and other UCITS-related issues. The proposals cover both synthetic and physical UCITS ETFs and detail the obligations to come for UCITS ETFs, index-tracking UCITS,...

From to Draft technical standards on short selling and certain aspects of credit default swaps Short Selling

In November 2011 the Council and the Parliament voted on a Regulation on
short selling and certain aspects of credit default swaps (the Regulation).
This is about to be published and should be applicable from 1 November 2012.

According to the Regulation ESMA has to submit its...

From to Consultation paper on guidelines on certain aspects of the MiFID suitability requirements

Consultation paper on guidelines on certain aspects of the MiFID suitability requirements

From to Guidelines on certain aspects of the MiFID compliance function requirements

Guidelines on certain aspects of the MiFID compliance function requirements

From to ESMA’s technical advice on possible delegated acts concerning the Prospectus Directive as amended by the Directive 2010/73/EU

The purpose of this consultation document from ESMA is to seek comments on the technical advice that ESMA proposes to give to the European Commission on a number of possible delegated acts.

From to Consultation on Considerations of materiality in financial reporting

The objective of financial statements is to provide information to a range of users for the purpose of economic decision making. To be useful, such statements must present fairly the financial position, perform-ance and cash flows of the reporting entity. Where information which is required by...

From to Consultation on Regulatory technical standards on the information to be provided to ESMA by a credit rating agency in its application for registration and certification and for the assessment of its systemic importance

This Consultation Paper aims at presenting the draft RTS. For the purpose of preparing the RTS, ESMA carried out a Cost and Benefits Analysis (hereafter

From to Consultation on Regulatory technical standards on the assessment of compliance of credit rating methodologies with the requirements set out in Article 8(3) of Regulation (EC) No 1060/2009

Article 21(4) of Regulation (EU) No 513/2011 of the European Parliament and of the Council of 11 May 2011 amending Regulation (EC) No 1060/2009 on credit rating agencies (EU Regulation) requires ESMA to develop draft regulatory technical standards on the assessment of compliance of credit rating...

From to Consultation on ESMA's draft Regulatory Technical Standards on the presentation of the information that credit rating agencies shall disclose in accordance with Article 11(2) and point 1 of Part II of Section E of Annex I to Regulation (EC) No 1060/2009

Credit rating agencies are required to report data to a central repository (CEREP) run by ESMA. The very purpose of this CEREP is to improve transparency and to contribute to the protection of investors by providing information on the past performance of credit rating agencies and about credit...

From to Consultation on ESMA's Draft Regulatory Technical Standards on the content and format of ratings data periodic reporting to be submitted from credit rating agencies

The reason for requiring periodic reporting of ratings data from credit rating agencies is to enable ESMA to use this data as a basis for its supervisory reviews and, in general, to support the tasks that ESMA shall carry out in order to discharge its obligations under the Regulation.
The...

From to Call for evidence on Empty voting

In recent years there has been discussion on possible regulatory reaction to the decoupling of voting rights. In this context, issues and potential problems relating to empty voting (i.e. having voting rights attached to shares without corresponding economic exposure) have also been raised....

From to Consultation on ESMA's draft technical advice to the European Commission on possible implementing measures of the Alternative Investment Fund Managers Directive in relation to supervision and third countries

ESMA publishes today a consultation paper (ESMA/2011/270) setting out its proposals for the detailed rules on supervision and third country entities underlying the Alternative Investment Fund Managers Directive (AIFMD). These rules reflect the global nature of the alternative investment...

From to Discussion paper on ESMA's policy orientations on guidelines for UCITS Exchange-Traded Funds and Structured UCITS

ESMA publishes today a discussion paper (ESMA/2011/220) setting out policy orientations on guidelines for UCITS Exchange-Traded Funds (ETFs) and structured UCITS. The Authority has reviewed the current regulatory regime applicable to such funds and considers that the existing requirements are...

From to Consultation on the Guidelines on systems and controls in a highly automated trading environment for trading platforms, investment firms and competent authorities

ESMA publishes a consultation paper (ESMA/2011/224) today setting out its proposals for detailed guide-lines for trading platforms, investment firms and competent authorities to address challenges of a highly automated trading environment, of which high frequency trading (HFT) is an important...

From to Consultation on ESMA's draft technical advice to the European Commission on possible implementing measures of the Alternative Investment Fund Managers Directive

ESMA publishes today a consultation paper (ESMA/2011/209) setting out its proposals for the detailed rules underlying the Alternative Investment Fund Managers Directive (AIFMD). This is in response to the request for assistance which the European Commission sent to ESMA's predecessor, CESR, in...

From to Consultation on ESMA's technical advice on possible delegated acts concerning the Prospectus Directive as amended by the Directive 2010/73/EU

The purpose of this consultation document from ESMA is to seek comments on the technical advice that
ESMA proposes to give to the European Commission on a number of possible delegated acts.

On Tuesday 25 January 2011, the European Commission published its request to ESMA for advice...

From to Call for evidence on ratings data periodic reporting requirements for CRAs according to Article 21 (3)(e) of the Draft Amended CRA Regulation

In the light of the proposal for amending Regulation (EC) No 1060/2009, ESMA has started the process of drafting regulatory technical standards, to be endorsed by the Commission in accordance to Article 10 of Regulation no. 1095/2010, concerning the content and format of the ratings data...

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