Consultations

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306 ALL CONSULTATIONS
Date Title Section Respond Info Summary Documents
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...

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 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 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 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...

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