ESMA
Subcategorías
Collective Investment
- Call for evidence on the review of the Commission Directive on UCITS Eligible Assets
- ESMA consults on its proposal for Guidelines on performance fees in UCITS. October 2019.
- Assets segregation in the delegation of custody services as a measure to ensure investment funds clients´ protection. October 2016.
- Opinion on the review of the CESR guidelines on a common definition of European Money Market Funds. November 2014.
- Guidelines on repurchase and reverse repurchase agreements for Undertaking for Collective Investment in Transferable Securities Funds (UCITS). March 2013.
- Guidelines on Exchange Traded Funds and other UCITs issues. July 2012.
- Level 2 measures of the Alternative Investment Fund Managers Directive. November 2011.
- Common definition of european money market funds. July 2010.
Digital Finance
- ESMA Guidelines on the Criteria for Assessing Knowledge and Competence under the Regulation on markets in crypto-assets
- ESMA Guidelines on Market Abuse under the MiCA Regulation
- ESMA’s Supervisory Briefing on the authorisation of crypto-asset service providers
- ESMA final report on the draft technical standards under the Regulation 2020/1503 on European crowdfunding service providers for business. International Bulletin, June 2022.
- Guidelines on outsourcing to cloud service providers. International Bulletin, March 2021.
- Report of the Joint Committee of the European Supervisory Authorities on regulatory sandboxes and innovation hubs. June 2019.
- ESMAs advice addressed to European Union Institutions on Initial Coin Offering and Crypto-Assets. February 2019.
- An overview of crowdfunding in the European Union. July 2015.
- Guidelines on systems and controls in an automated trading environment for trading platforms, investment firms and competent authorities. March 2012.
Investor Protection
- ESMA Final Report on the application and effectiveness of the provisions in the second directive regarding proxy advisors and the investment chain
- ESMA Final Report on the Guidelines on certain aspects of the MiFID II suitability requirements. International Bulletin of November 2022.
- ESMA’s Technical Advice to the Commission on the application of administrative and criminal sanctions under MiFID II/MiFIR. International Bulletin of June 2021.
- ESMA’s Technical Advice to the Commission on the impact of the inducements and costs and charges disclosure requirements under MiFID II. International Bulletin of June 2020.
- ESMA agrees on product intervention measures in relation to CFDs and binary options offered to retail investors. June 2018.
- ESMA, EBA and EIOPA Joint Committee final report on Guidelines for complaints-handling for the securities and banking sectors. July 2014.
- ESMA opinion on good practices on governance arrangements for structured retail products. July 2014.
- ESMA opinion on MiFID practices on firms selling complex products. March 2014.
- Retailisation or sale of complex products to retail investors. November 2013.
- Guidelines on remuneration policies and practices in MiFID. July 2013.
- Technical standards and guidelines on certain aspects of the MiFID suitability requirements. July 2012.
- Technical standards and guidelines on certain aspects of the requirements of the MiFID´s compliance function. July 2012.
- ESMA’s Final Report on the European Commission mandate on certain aspects relating to retail investor protection. International Bulletin, June 2022.
Markets
- ESMA Consultation Paper on Active Account Requirement under EMIR 3
- ESMA Report on the Call for Evidence on pre-hedging
- Review of MAR Guidelines on the delay in the disclosure of inside information and interactions with prudential supervision. International Bulletin of November 2021.
- Guidelines on the MiFID II/MiFIR obligations on market data. International Bulletin of June 2021.
- ESMA Consultation Paper MiFID II/MiFIR Review Report on algorithmic trading. International Bulletin, March 2021.
- ESMA Final Report to the European Commission on the pre- and post-trade transparency regime for non-equity instruments International Bulletin, November 2020.
- MiFID II / MiFIR review report on the transparency regime for equity and equity-like instruments, the double volume cap mechanism and the trading obligations for shares. International Bulletin of June 2020.
- Report on the development in prices for pre- and post-trade data and consolidated tape providers. International Bulletin of February 2020.
- ESMA Guidelines on risk factors under Propectus Regulation. June 2019.
- ESMA’s proposal on the regulatory standards required by the new Prospectus Regulation. October 2018
- ESMAs Technical Advice to the European Commission on the Short Selling Regulation. February 2018.
- Guidelines on the Market Abuse Regulation-market soundings an ddelay of disclosure of inside information. October 2016.
- Regulation on transparency of securities financing transactions and reuse. May 2016.
- First EU-wide central counterparty stress test exercise. May 2016.
- Final report with draft Regulatory and Implementing Technical Standards on MiFID II/MiFIR. November 2015.
- Final report with draft regulatory and implementing technical standards on the Market Abuse Regulation. November 2015.
- Guidelines on Alternative Performance Measures. July 2015.
- Technical advice on possible delegated acts for the development of level 2 dispositions of the Market Abuse Regulation. March 2015.
- Draft Regulatory Technical Standards on major shareholdings and an indicative list of financial instruments subject to notification requirements under the revised Transparency Directive. November 2014.
- ESMA-EBA review of the implementation of the recommendations to Euribor-EBF. March 2014.
- 2013 annual report on Credit Rating Agencies. March 2014.
- Guidelines and recommendations regarding written agreements between members of Central Counterparties (CCPs) colleges of supervision. July 2013.
- Guidelines on the exemption for market making activities and primary market operations under Regulation on Short Selling. March 2013.
- Final report with the feedback statement on the consultation regarding the role of the proxy advisory industry. March 2013.
- Draft Regulatory and Implementing Technical Standards under EMIR Regulation. November 2012.
- Locate rules: requirements on short sales in shares and in sovereign debt instruments in articles 12 and 13 of the Regulation. March 2012.
- Transparency rules: information reporting on net short position in shares and in sovereign debt and public disclosure on net short position in shares in articles 5 to 8 of the Regulation. March 2012.
- CESR Document on Short Selling. March 2010.
Strategic Lines
- ESMA Annual Work Programme for 2023 International Bulletin, November 2022.
- European Securities and Markets Authority: 2020 Annual Work Programme. October 2019.
- Preparatory measures by ESMA in the context of the United Kingdom withdrawing from the European Union (II). June 2019.
- European Securities and Markets Authority: 2019 Annual Work Programme. February 2019.
- Preparatory measures by ESMA in the context of the United Kingdom withdrawing from the European Union. February 2019.
- Opinions issued by the European Securities and Markets Authority to support supervisory convergence in the context of the United Kingdoms withdrawal from the European Union. October 2017.
- ESMA 2017 Work Programme. February 2017.
- ESMA 2016 Regulatory Work Programme. May 2016.
- ESMA 2016 Supervisory Convergence Work Programme. May 2016.
- ESMA 2016 work programme. November 2015.
- Peer Reviews, one of ESMA´s fundamental tool to achieve supervisory convergence. July 2015.
- ESMA 2015 work programme. November 2014.
- Questions and Answers (Q&As) on the implementation of Regulations, Directives, Guidelines and issues of interest. November 2014.
- ESMA work programme for 2014. November 2013.
- 2013 ESMA work programme. November 2012.
- 2012 ESMA work programme. March 2012.
Sustainable Finance
- Consultation paper on the review of the SFDR Delegated Regulation
- Public consultation on the draft Regulatory Technical Standards for Taxonomy-related sustainability disclosures. International Bulletin of June 2021.
- Final Report on draft Regulatory Technical Standards (RTS) developing Regulation (EU) 2019/2088 on sustainability-related disclosures in the financial services sector. International Bulletin, March 2021.
- ESMA publishes a Report on undue short-term pressure on corporations. International Bulletin of February 2020.
- ESMA’s technical advice to the European Commission on integrating sustainability risks and factors in MiFID II, the UCITS Directive and AIFMD. June 2019.