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Q&As on MiFID II and MiFIR investor protection topics
18 February 2020
Main document esma35-43-349_mifid_ii_qas_on_investor_protection_topics.pdf Style ESMA document ... Reference ESMA35-43-349 Section MiFID- Investor Protection Supervisory convergence Type Q&A ...
Q&A on MiFIR data reporting
06 December 2019
Reference ESMA70-1861941480-56 Section MiFID- Secondary Markets Supervisory convergence Type ...
Opinion to support supervisory convergence in the area of secondary markets in the context of the United Kingdom withdrawing from the European Union
13 July 2017
Reference ESMA70-154-270 Section Brexit MiFID- Secondary Markets Supervisory convergence Type ...
Opinion to support supervisory convergence in the area of investment firms in the context of the United Kingdom withdrawing from the European Union
13 July 2017
Reference ESMA35-43-762 Section Brexit MiFID- Investor Protection Supervisory convergence Type ...
Update of the guidelines on the application of the endorsement regime under Article 4(3) of the Credit Rating Agencies Regulation
04 April 2017
equivalence. This Methodological Framework is provided in Annex II of the 2011 Guidelines on Endorsement. By ...
Endorsement is one of two regimes provided in the CRA Regulation that allow credit ratings issued in a third country to be used for regulatory purposes in the EU – the other being equivalence/certification. Article 21(3) of the CRA Regulation requires ESMA to issue and update guidelines on the...
Consultation paper on draft RTS on prospectus related issues under the Omnibus II Directive
26 September 2014
2014-1186_consultation_paper_on_omnibus_ii_rts.pdf Style ESMA document ...
ESMA invites comments on all matters in this paper and in particular on the specific questions summarised in Annex I. Comments are most helpful if they:• respond to the question stated;• indicate the specific question to which they relate;• contain a clear rationale; and• describe any alternatives...
Technical advice on CRA regulatory equivalence - US, Canada and Australia
18 April 2012
to the European Commission in respect of the equivalence between the US (Part I), Canada (Part II) and Australia ...
On 12 June 2009 the European Commission requested CESR, now ESMA, to provide its technical advice on the equivalence between the legal and supervisory framework of Japan, The United States, and Canada with the EU regulatory regime for credit rating agencies. (Regulation (EC) No. 1060/2009 of the...
Consultation paper - 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 1060/2
19 September 2011
Reference 2011/304 Section Credit Rating Agencies Type Consultation Paper Main document 2011_304.pdf Style ESMA document ...