Databases and Registers

ESMA fulfils its mission to enhance investor protection and promote stable and orderly financial markets by facilitating access to relevant registers and statistical data for market participants, regulators and the general public.

This section provides references to the registers and financial market data that ESMA compiled on the basis of notifications and data provided by the relevant national competent authorities (NCAs) and information collected through ESMA’s supervisory activities.

A dedicated ESMA Registers portal is also available, and provides tailored search tools.

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Benchmarks Regulation

Database/Register Description
Benchmark administrators  Database of benchmark administrators
Third country benchmarks Database of third country benchmarks
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Prospectus Regulation

Database/Register Description
Prospectus Documents Prospectuses and related documents submitted by the National Competent Authorities – Search based on the documents characteristics
Prospectus Securities​ Prospectuses and related documents submitted by the National Competent Authorities – Search based on the securities characteristics
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Corporate reporting (Transparency Directive)

Hyperlinks to national databases (Officially Appointed Mechanisms, or “OAMs”) containing regulated information disclosed by issuers having shares admitted for trading on regulated markets

EU country National database
Austria - Operator OeKB (Oesterreichische Kontrollbank AG)
Belgium - Operator Competent Authority
Bulgaria - Operator Competent Authority
Croatia - Operator Competent Authority
Cyprus - Operator Stock Exchange
Czechia - Operator Competent Authority
Denmark - Operator Competent Authority
Estonia - Operator Competent Authority
Finland - Operator Stock Exchange
France - Operator Official Journal
Germany - Operator Company Register
Greece - Operator Stock Exchange
Hungary - Operator Competent Authority
Iceland - Operator Competent Authority
Ireland - Operator Stock Exchange
Italy - Operator 1Info and eMarket Storage (private entities)
Latvia - Operator Competent Authority
Lithuania - Operator Stock Exchange
Luxembourg - Operator Stock Exchange
Malta - Operator Stock Exchange
Netherlands - Operator Competent Authority
Norway - Operator Stock Exchange
Poland - Operator Competent Authority
Portugal - Operator Competent Authority
Romania - Operator Competent Authority
Slovakia - Operator Competent Authority
Slovenia - Operator Stock Exchange
Spain - Operator Competent Authority
Sweden - Operator Competent Authority
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Crowdfunding (ECSPR)

Database/Register Description
Register of crowdfunding services providers Register of crowdfunding services providers under Article 14 of the Crowdfunding regulation
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Supervision (Credit rating agencies (CRA) Regulation, EMIR and SFTR)

Database/Register Description
Registered and certified credit rating agencies List of registered and certified CRAs
Central repository (CEREP) statistics Statistics on the rating activity and the rating performance (including default rates and transition matrices) of all registered or certified CRAs
Registered trade repositories (TR-EMIR) List of registered TRs under EMIR
Registered trade repositories (TR-SFTR) List of registered TRs under SFTR
European Rating Platform (ERP) Individual credit ratings and rating outlooks of all registered and certified CRAs plus rating history details from 1 July 2015 onwards, press releases accompanying rating issuances and research reports for sovereign ratings.
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Investment management (AIFMD, UCITS Directive, MMFR, EuVECA and EuSEF Regulation, ELTIF Regulation)

Database/Register Description
Investment Fund Managers Register of authorised Alternative Investment Fund Managers (AIFMs)
Alternative Investment Funds (AIFs) exposures to commercial real estate 2017 | ​2018 | 2019 | 2020 | 2021 Data on AIFs exposures to commercial real estate in response to the ESRB Recommendation on closing real estate data gaps (ESRB/2016/14)
Money Market Funds (MMFs) Register of authorised Money Market Funds (MMFs)
Categories of covered bonds and issuers of covered bonds Categories of bonds referred to Article 52(4) of UCITS Directive, together with categories of issuers of those instruments
Undertakings for collective investment in transferable securities (UCITS) management companies Register of UCITS management companies authorised by the NCAs
European Venture Capital Fund Managers (EuVECA) Database listing all managers of qualifying venture capital funds with the qualifying venture capital funds that they market
European Social Entrepreneurship Fund Managers (EuSEF) Databases of all managers of qualifying social entrepreneurship funds with the qualifying social entrepreneurship funds that they market
ELTIF Register of authorised European long- term investment funds (ELTIFs)
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Financial Instruments (MiFID II, MiFID II implementing Regulation, OMNIBUS Directive)

Database/Register Description
Annual transparency calculations for non-equity instruments  Annual transparency calculations for non-equity instruments as per (CDR) 2017/583 (RTS 2)
Commodity Derivatives Position Reporting (MiFID II art 58) Database of weekly commitment of trader reports showing the aggregate positions held in commodity derivatives, emission allowances or derivatives thereof traded on a trading venue
MiFID II contact point information for NCAs Contact points of national supervisory authorities for communication in the MiFID II framework on investor protection and intermediaries topics
List of extra-judicial mechanisms for consumers complaints (Art. 75 MiFID II​) List of extra-judicial complaints and redress procedures for the out-of-court settlement of consumer disputes concerning the provision of investment and ancillary services provided by investment firms
Data for the systematic internaliser calculations Total number of transactions and total volume for the systemic internaliser calculations as per Commission Delegated Regulation  (EU) 2017/565
Data for the non-equity consolidated tape providers calculations Total number of transactions and total volume of transactions for the non-equity consolidated tape providers calculations as per Commission Delegated Regulation (EU) 2017/571
Financial Instruments Reference Database (FIRDS) Database of instruments reference data collected under MAR Art.4 and MiFIR Art.27
Financial Instruments Transparency System (FITRS) Database of equity and non-equity transparency calculation results
Double volume cap mechanism data Data on equity double volume cap calculations as established under MiFIR Article 5
MiFID investment firms List of investment firms authorised by the NCAs including information on their authorised services and activities and on published sanctions relating to these firms that may have been imposed by the NCAs 
MiFID II position limits  List of critical or significant commodity derivatives and commodity derivatives with a MiFID II position limit
MiFID II/MiFIR TV/SI/DRSP  Database of MiFID2/MiFIR Trading venues/Systematic internalisers/Data Reporting Service providers
Register for trading obligation List of derivative contracts that are subject to the trading obligation under the Markets in Financial Instruments Regulation (MiFIR).
Suspensions and removals of financial instruments from trading (Art. 32 and 52 MIFID II​) Register on suspensions and removals of financial instruments from trading, according to articles 32 and 52 of Directive 2014/65/EU (MIFID II).
Trading venues exempt from open access provisions (Article 36(5) MiFIR) List of trading venues for which a temporary exemption from the open access provisions under Article 36(5) of the Markets in Financial Instruments Regulation (MiFIR) exists
Trading venues and CCPs exempt from open access provisions (Article 54(2) MiFIR) List of trading venues and CCPs for which a temporary exemption from the open access provisions under Article 54(2) of the Markets in Financial Instruments Regulation (MiFIR) exists
Third-country trading venues for the purpose of transparency under MiFIR Opinion determining third-country trading venues for the purpose of transparency under MiFIR
Third-country trading venues for the purpose of position limits under MiFID II Opinion determining third-country trading venues for the purpose of position limits under MiFID II
List of branches of third-country firms authorised to provide investment services and activities in EU jurisdictions List of branches of third-country firms authorised to provide investment services and activities in Members States of the European Union, according to Article 41(2) of MiFID II
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Short Selling (Regulation on short selling and certain aspects of credit default swaps)

Database/Register Description
Administrative measures and sanctions applicable in Member States to infringements of the Short Selling Regulation (SSR)  List of  existing  penalties and administrative measures applicable to infringements of the SSR in the Member States
List of exempted shares (having their principle trading venue located in a third country)  
Market makers and authorised primary dealers who are using the exemption under the SSR PDF | Excel List  of  market  makers  and authorised  primary dealers who are using the exemption under the SSR
National websites explaining the procedures for notifications of net short positions List of hyperlinks to the websites containing  the information about the national notifying procedures and the templates to use
National websites where net short positions in shares are disclosed List of hyperlinks to the websites operated or supervised by the NCAs publishing net short position in shares
Net short position notification thresholds for sovereign issuers List of the thresholds applicable to the sovereign issuers for the purpose of the notification to the NCAs of significant net short position in sovereign debt
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Post-trading (EMIR, Settlement Finality Directive, CSDR)

Database/Register Description
European Central Counterparties (CCPs) authorised to offer services and activities in the Union List of CCPs authorised in the EU
List of third-country CCPs recognised to offer services and activities in the Union List of third-country CCPs recognised in the EU
Public Register for the Clearing Obligation under EMIR Register listing classes of OTC derivatives that CCPs are authorised to clear
CSD Register List of Central Securities Depositories (CSDs) authorised or recognised under CSDR
Key relevant provisions of the corporate or similar law of a Member State, under which securities are constituted Compilation of key relevant provisions of national corporate or similar law, under which securities are constituted
Designated payment and securities settlement systems List of designated payment and securities settlement systems
List of Exempted Pension Schemes List of pension scheme arrangements exempted from the clearing obligation
List of third-country markets considered as equivalent to a regulated market in the Union under EMIR List of third country markets declared as equivalent for the purposes of the definition of OTC derivatives under EMIR
Trading Venues with the Highest Turnover for Bonds Trading Venues with the Highest Turnover for Bonds - for CSDR Cash Penalties Calculation
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Tied Agents

The Omnibus Directive requires ESMA to publish on its website references or hyperlinks to the public registers of tied agents established by the Member States which decide to allow investment firms to appoint tied agents.

The list below contains the hyperlinks to the webpages of the EU countries and their national competent authorities giving access to the national registers of tied agents.

Investors should note that for some competent authorities the information is only available in the national language.

EU country (National Competent Authority) Link to the national registers of tied agents
Austria (Finanzmarktaufsicht – FMA)
Belgium (FSMA)
Bulgaria (Financial Supervision Commission)
Croatia (Croatian Financial Services Supervisory Agency – CFSSA)
Cyprus (Cysec)
Czech Republic (Czech National Bank – CNB)
Denmark (Finanstilsynet)
Estonia (Estonian Financial Supervision Authority)
Finland (Finanssivalvonta)
France (Organisme pour le registre unique des intermédiaires en assurance, banque et finance - Orias)
Germany (BaFin)
Greece (Hellenic Capital Market Commission)
Hungary (The Central Bank of Hungary (MNB))
Iceland (Financial Supervisory Authority – Fjármálaeftirlitið)
Ireland (Central Bank of Ireland)
Italy (Organismo di vigilanza e tenuta dell'albo unico dei Consulenti Finanziari – OCF)[1] 
Latvia (Financial and Capital Market Commission)
Liechtenstein
Lithuania (Central Bank of Lithuania)
Luxembourg (CSSF)
Malta (Financial Services Authority)
Netherlands (AFM)
Norway (Finanstilsynet)
Poland (Polish Financial Supervision Authority)
Portugal (Comissão do Mercado de Valores Mobiliários – CMVM)
Romania (Romanian National Securities Commission – CNVM)
Slovak Republic (Central Bank of Slovakia)
Slovenia (Securities Market Agency – Agencija za trg vrednostnih papirjev)
Spain (Comisión Nacional del Mercado de Valores - CNMV)
Sweden (Finansinspektionen)

 

[1] The register is kept by OCF which is a legal person and is organised in the form of an association, with organisational and statutory autonomy; the OCF is supervised by CONSOB (see art. 31, paragraph 4, of Legislative Decree No. 58/1998).

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Net short position notification thresholds for sovereign issuers

According to Article 7(2) of the Short Selling Regulation, ESMA has to publish a list of the thresholds applicable to the sovereign issuers for the purpose of the notification to competent authorities of significant net short position in sovereign debt.

The way these notification thresholds are defined is further specified in the Commission Delegated Regulation No 918/2012 (the “DR”). The DR specifies that initial threshold categories shall be:

  1. 0.1% applicable where the total amount of outstanding issued sovereign debt is between 0 and 500 billion euros;
  2. 0.5% applicable where the total amount of outstanding issued sovereign debt is above 500 billion euros or where there is a liquid futures market for the particular sovereign debt.

The additional incremental levels shall be set at 50% of the initial thresholds. The reporting thresholds shall be monetary amounts fixed by applying the percentage thresholds to the outstanding sovereign debt of the sovereign issuer. They will be revised and updated quarterly to reflect changes in the total amount of outstanding sovereign debt of each sovereign issuer.

In addition, the DR states that the amount of outstanding debt should be calculated using a duration adjusted approach. ESMA has published a Q&A document on how to proceed for the duration adjustment.

The table of thresholds contains the name of the sovereign issuer, the amount of outstanding debt duration adjusted, the initial threshold amount and the relevant percentage, the incremental threshold amount and the relevant percentage.

Please note that the figures of the amount of outstanding debt are duration adjusted (not nominal amounts) and are approximations provided by competent authorities.

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UCITS Management Companies

The Omnibus Directive requires ESMA to establish a list all authorisations granted to UCITS management companies in the European Union.

The Registries database centralises all the relevant information in this regard received from the national competent authorities, and contains information on the services or activities for which the UCITS management company is authorised.  The database is updated on a regular basis.

Any national data not available in this consolidated registry, can be accessed via the links below to the national registers of authorised UCITS managment companies. ESMA draws users' attention to the fact that some hyperlinks do not give direct access to the list of UCITS management companies authorised. Also, investors should note that for some competent authorities the information is only available in the national language. 

EU country (National Competent Authority) National register
Austria (Finanzmarktaufsicht – FMA) German link
English link
Belgium (FSMA) Dutch link
French link
Bulgaria (Financial Supervision Commission) Link
Cyprus (Cysec) Not applicable
Czechia (Czech National Bank – CNB) Czech link
English link
Denmark (Finanstilsynet) Danish link
English link
Estonia (Estonian Financial Supervision Authority) Link
Finland (Finanssivalvonta) Finnish link
Swedish link
English link
France (Autorité des marchés financiers – AMF) Link
Germany (BaFin) Link
Greece (Hellenic Capital Market Commission) Link
Hungary (Hungarian Financial Supervisory Commission) Link
Iceland (Financial Supervisory Authority – Fjármálaeftirlitið) Link
Ireland (Central Bank of Ireland) Link
Italy (Consob) Link
Latvia (Latvijas Banka) Latvian link
English link
Liechtenstein Link
Lithuania (Central Bank of Lithuania) Lithuanian link
English link
Luxembourg (CSSF) Link
Malta (Financial Services Authority) Link
Netherlands (AFM) Dutch link
English link
Norway (Finanstilsynet) Norwegian link
English link
Poland (Polish Financial Supervision Authority) Polish link
English link
Portugal (Comissão do Mercado de Valores Mobiliários – CMVM) Link
Romania (Romanian National Securities Commission – CNVM) Link
Slovakia (Central Bank of Slovakia) Slovak link
English link
Slovenia (Securities Market Agency – Agencija za trg vrednostnih papirjev) Slovenian link
English link
Spain (Comisión Nacional del Mercado de Valores - CNMV) Link
Sweden (Finansinspektionen) Swedish link
English link
United Kingdom (Financial Conduct Authority – FCA) Link
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Other

Database/Register Description
Sanctions Compilation of sanctions applied and published in Member States under CSDR, EMIR, MAD, MAR, MiFID, SFTR, UCITS, SECR, ECSPR, PRIIPs, SSR and PR.
Persons Discharging Managerial Responsibilities  List of national competent authorities that have increased the thresholds for the notification of transactions of persons discharging managerial responsibilities and closely associated persons
Enforcement actions Overview of enforcement actions for Credit Rating Agencies and Trade Repositories
STS securitisations notifications List of all securitisations that comply with the ‘Simple, Transparent, and Standardised’ (STS) criteria set out in the Securitisation Regulation (Regulation (EU) 2017/2402)
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Other non-regulatory information

Database/Register Description
DVC completeness indicators Data completeness indicators for trading venues detailing the delivery of double volume cap (DVC)
Bond liquidity completeness indicators Data completeness indicators for bond liquidity
Calendar MiFID II/ MiFIR Transparency publications Scheduled publication dates for data relevant for MIFID II / MiFIR transparency and systematic internalisers regime
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