Consultations

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

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...

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