Consultations

Pages

302 ALL CONSULTATIONS
Date Title Section Respond Info Summary Documents
From to Call for evidence on the assessment of compliance of credit rating agencies with Article 8.3 of the Credit Rating Agencies Regulation (1060/2009/EC)

In the light of the agreed amendments to the Credit Rating Agencies Regulation (EC) No 1060/2009 (CRA Regulation), ESMA is mindful of its mandate to produce draft regulatory tech-nical standards (RTS) for adoption by the Commission. This Call for Evidence concerns RTS on the assessment of...

From to Consultation on the discussion paper on ESMA's policy orientations on possible implementing measures under Article 3 of the Alternative Investment Fund Managers Directive

On 2 December 2010, the European Commission sent a request for assistance to the predecessor of ESMA, CESR, on the content of the implementing measures of the Alternative Investment Fund Managers Direc-tive (AIFMD). Following receipt of this request, CESR published a call for evidence in order...

From to Consultation on ESMA's Technical Advice to the Commission on Fees for CRA Supervision

On 24 February 2011 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 Credit Rating Agencies (CRAs) by delegated act. The advice is due to be delivered to the Commission by 13...

From to Consultation on ESMA's Guidelines on the application of the endorsement regime under Article 4 (3) of the Credit Rating Regulation 1060/2009

European Securities and Markets Authority (ESMA) invites comments on all matters in this paper. Com-ments are most helpful if they:
(a) respond to the question stated;
(b) contain a clear rationale; and
(c) describe any alternatives ESMA should consider.
ESMA will...

From to Call for evidence on the request for technical advice on possible delegated acts concerning the Prospectus Directive (2003/71/EC) as amended by the Directive 2010/73/EU

On Tuesday 25 January 2011, the European Commission published its request to ESMA for advice on possible
delegated acts concerning the Prospectus Directive (2003/71/EC) as amended by Directive
2010/73/EU. ESMA has been asked to deliver certain parts of the requested advice by 30...

From to Call for evidence on the criteria for endorsement (Article 21 (2)(a) 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 issuing and updating the guidelines on the application of the endorsement regime. The aim of this Call for evidence is to gather information from financial institutions and other interested...

From to Call for evidence - Implementing measures on the Alternative Investment Fund Managers Directive

This call for evidence seeks stakeholders' input on the provisional mandate from the European Commission regarding CESR's technical advice on the implementing measures on the Alternative Investment Fund Managers Directive. This input will help CESR and its successor, the European Securities and...

From to Consultation on CESR's Guidelines on Risk Measurement and the Calculation of Global Exposure for certain types of structured UCITS
From to Consultation on the Development of Pan-European Access to Financial Information Disclosed by Listed Companies
From to Consultation on CESR's template for the Key Investor Information document

This consultation seeks stakeholders' views on a template developed by CESR for the Key Investor
Information document for UCITS. The template reflects the content of Commission Regulation (EU)
583/2010 implementing Directive 2009/65/EC of the European Parliament and of the Council as...

From to Consultation on the guide to clear language and layout for the Key Investor Information document (KII)

The Simplified Prospectus (SP) failed as a consumer communication because the rules led to long documents. In addition, many are written in technical or legalistic language and are poorly structured and designed. The Key Investor Information document (KII) is a radical attempt to address these...

From to Consultation on CESR's Guidelines for the transition from the Simplified Prospectus to the Key Investor Information document

This paper considers some practical implications of Article 118(2) of the revised UCITS Directive, which allows UCITS management companies up to 30 June 2012 to implement Key Investor Information (KII) as referred to in Article 78.

From to Consultation on CESR's level 3 guidelines on the selection and presentation of performance scenarios in the Key Investor Information document (KII) for structured UCITS
From to Consultation on Transaction Reporting on OTC Derivatives and Extension of the Scope of Transaction Reporting Obligations

This consultation paper sets out CESR's proposal for the possible organisation of transaction reporting on OTC derivatives as well as for the extension of the scope of transaction reporting obligations.

CESR's proposal on transaction reporting on OTC derivatives is based on the assumption...

From to Consultation on Standardisation and exchange trading of OTC derivatives

Following the financial market turmoil which began in 2007, a number of regulatory initiatives have been launched to address the problems identified in Europe and the United States in relation to the derivatives traded over-the-counter (OTC).
In this regard, the Commission's communication...

From to Consultation on CESR's advice in the context of the MiFID Review

In the context of its review of the Markets in Financial Instruments Directive (MiFID), the European Commission (EC) posed a series of questions to CESR. The purpose of this consultation is to gather stakeholders' views on client categorisation issues to assist CESR in its responses to the...

From to Consultation on Guidance on Common Standards for Assessment of Compliance of Credit Rating Methodologies with the Requirements set out in Article 8(3)

The purpose of this consultation document is to seek comments on the conclusions CESR has drawn for setting guidelines on common standards for assessing compliance of credit rating methodologies with the requirements set out in Article 8.3.

The consultation period closes on 18 June 2010....

From to Consultation on Guidance on the Enforcement Practices and Activities to be Conducted under Article 21.3(a) of the Regulation

The purpose of this consultation document is to seek comments on the conclusions CESR has drawn for setting guidelines on enforcement practices applicable as part of ongoing supervision as well as on the interaction expected between CRAs and competent authorities.

The consultation period...

From to Consultation on CESR's advice in the context of the MiFID Review: Non-equity markets transparency

The Markets in Financial Instruments Directive (MiFID) came into force on 1 November 2007. It introduced significant changes to the European regulatory framework for equity secondary markets, leaving open to Member States the possibility to extend transparency requirements to financial...

From to Consultation on amending the Prospectuses Regulations for mineral companies

Pages