ESMA

ESMA

• ESMA: MAR Guidelines in the disclosure of inside information. October 2016.
• ESMA: MAR guidelines on persons receiving market soundings. October 2016.
• ESMA: Guidelines on sound remuneration policies under the AIFMD. October 2016.
• ESMA: Guidelines on sound remuneration policies under the UCITS Directive. October 2016.
• ESMA: Guidelines Transaction reporting, order record keeping and clock synchronisation under MiFID II. October 2016.
• ESMA: Final report on technical advice under the Central Securities Depositories Regulation. August 2015.
• ESMA: Guidelines on Alternative Performance Measures. June 2015.
• ESMA: MiFIDII/MiFIR draft technical standards on authorisation, passporting, registration of third country firms and cooperation between competent authorities. June 2015.
• ESMA: Strategic orientation for 2016-2020. June 2015.
• ESMA: Annual report 2014. June 2015.
• ESMA: Risk Dashboard nº 2 2015. June 2015.
• ESMA: Guidelines on the application of the definitions in sections C6 y C7 of Annex I of MiFID Directive. May 2015.
• ESMA: Investment-based crowdfunding. Insights from regulators in the UE. May 2015.
• ESMA: Opinion on the impact of EMIR Regulation on the Undertake Collective Investment in Transferable Securities (UCITS). May 2015.
• ESMA: Opinion on the composition of Central Counterparties colleges under EMIR. May 2015.
• ESMA: Response to EC consultation on "An EU framework for simple, transparent and standardised securitisation". May 2015.
• ESMA: Response to the EC consultation on the review of the prospectus Directive. May 2015.
• ESMA: Response to the Commission green paper on bulding a Capital Markets Unión. May 2015.
• ESMA: Joint Committee report on securitisation. May 2015.
• ESMA: Joint Committee report on risks and vulnerabilities in the EU financial system. March 2015.
• ESMA: Report on enforcement and regulatory activities of Accounting Enforcers in 2014. March 2015.
• ESMA: Guidelines on periodic information to be submitted to ESMA by Credit Rating Agencies. March 2015.
• ESMA: Peer review on automated trading guidelines . March 2015.
• ESMA: Risk Dashboard nº 1 2015. March 2015.
• ESMA: Trends, risks and vulnerabilities nº1 2015. March 2015.
• ESMA: Technical advice to the European Commission on the delegated acts of the Regulations on European Social Entrepreneurship Funds and European Venture Capital Funds. February 2015.
• ESMA: Technical advice to the European Commission on posible delegated acts concerning the Market Abuse Regulation. February 2015.
• ESMA: Technical advice to the European Commission on MiFID II/MiFIR. December 2014.
• ESMA: Final report on draft Implementing Technical Standards on main indices and recpognised exchanges under the Capital Rquirements Regulation. December 2014.
• ESMA: Advice on investment-based crowdfunding. December 2014.
• ESMA: Opinion on investment-based crowdfunding. December 2014.
• ESMA: Economic report nº 1: High-frequency trading activity in EU equity markets. December 2014.
• ESMA: Investigation into structured finance ratings. December 2014
• ESMA:  Peer review on conduct of business rules and fair, clear and not misleading information in MiFID. Decembre 2014.
• Joint Committee: Joint guidelines on the convergence of supervisory practices relating to the consistency of supervisory coordination arrangements for financial conglomerates. December 2014.
• ESMA: Technical advice to the European Commission on delegated acts required by the UCITS V Directive. November 2014.
• ESMA: Risk Dashboard nº4 2014. November 2014.
• ESMA: Final report on draft technical standards on the clearing obligation on interest rate OTC derivatives. October 2014.
• ESMA: Work programme 2015. September 2014.
• ESMA: Final report on draft Regulatory Technical Standards on major shareholdings and an indicative list of financial instruments subject to notification requirements under the revised Transparency Directive. September 2014.
• ESMA: Risk dashboard nº 3. September 2014.
• ESMA: Trends, risk and vulnerabilities nº 2. September 2014.
• ESMA: Technical advice in accordance with article 39.b).2 of the CRA Regulation regarding the appropriateness of the development of a European creditworthiness assessment for sovereign debt. September 2014.
• ESMA: Joint Committee report on risks and vulnerabilities in the European Union Financial System. August 2014.
• ESMA: Opinion on the review of the CESR Guidelines on a common definition of European Money Market Funds. August 2014.
• ESMA: Guidelines on reporting obligations under articles 3.3.d and 24.1, 2 and 4 of the AIFMD. August 2014.
• ESMA: Guidelines on the implementation of the CPSS-IOSCO principles for financial market infrastructures in respect of Central Counterparties. August 2014.
• ESMA: Guidelines and recommendations for competent authorities and management firms on ETFs and other UCITS issues. August 2014.
• ESMA: Placement of financial instruments with depositors, retail investors and policy holders ("selfplacement"). July 2014.
• ESMA: Statement on potential risks associated with investing in CoCos (Contingent Convertible Instruments). July 2014.
• ESMA: Technical advice in accordance with article 39.b.2 of the CRA Regulation. July 2014.
• ESMA: Guidelines on enforcement of financial information. June 2014.
• ESMA: Draft regulatory technical standards under the CRA 3 Regulation. June 2014.
• ESMA: Statement on information on shareholder cooperation and acting in concert under the Takeover Bids Directive-first update. June 2014.
• ESMA annual report for 2013. June 2014.
• ESMA: ESAs´s Joint Committee guidelines for complaints-handling for the securities and banking sectors. Junio 2014.
• ESMA: MMoU on cooperation arrangements and exchange of information. June 2014.
• ESMA: Decision to adopt a supervisory measure taking the form of a public notice on Standard&Poor´s for internal control failings in accordance with Regulation 1060/2009, on CRAs. June 2014.
• ESMA: Opinion on voting procedures for CCP colleges under EMIR. May 2014.
• ESMA: Final report on IFRS enforcement in Europe in 2013. May 2014.
• ESMA: Secondary Markets Standing Committee position paper on crowdfunding. April 2014.
• ESMA: 15th extract from the EECS´s database of enforcement related to IFRS. April 2014.
• ESMA: ESAs´s Joint Committee report on risks and vulnerabilities in the European Unión financial system. April 2014.
• ESMA: Opinion on good practices for structured retail product governance arrangements. March 2014.
• ESMA: Technical advice to the European Commission on the information that competent authorities should provide to ESMA pursuant to article 67.3 of the AIFMD. March 2014.
• ESMA: Guidelines on cooperation arrangements and information exchange between competent authorities and between competent authorities and ESMA. March 2014.
• ESMA: Final report on revision of the provisions on diversification of colateral in ESMA?s guidelines on ETFs and other UCITS issues. March 2014.
• ESMA: Credit Rating Agencies annual report 2013. February 2014.
• ESMA-EBA: Review of the implementation of ESMA-EBA recommendations to Euribor-EBF. February 2014.
• ESMA: Letter to the European Commission on classification of financial instrumentos as derivatives. February 2014.
• ESMA: Opinion on MiFID practices for firms selling complex products. February 2014.
• ESMA: Final report on mechanistics references to credit ratings in the ESA´s guidelines and recommendations. February 2014.
• ESMA: Final report on draft Technical Standards under article 10a (8) of MiFID on the assessment of acquisitions and increases in qualifying in investment firms. December 2013.
• ESMA: Final report on draft Regulatory Technical Standards on specific situations that require the publication of a supplement to the prospectus. December 2013.
• ESMA: Guidelines on reporting obligations under article 3.3.d and 24.1, 2 and 4 of the AIFMD. October 2013.
• ESMA: Opinión on collection of information for the effective monitoring of systemic risk under article 24.5, first sub-paragraph, of the AIFMD. October 2013.
• ESMA:  Guidelines on key concepts of the Alternative Investment Fund Managers Directive (AIFMD). August 2013.
• ESMA: Opinion on draft regulatory technical standards on types of Alternative Investment Fund Managers under article 4.4 of the AIFMD. August 2013.
• ESMA: Final report on draft implementing technical standards amending CE Regulation nº 1247/2012, with regard to the format the frequency of trade reports to trade repositories under Regulation nº 648/2012. August 2013.
• ESMA: Practical arrangements for the late transposition of the AIFMD. August 2013.
• ESMA: Guidelines on the model MoU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities. July 2013.
• ESMA: Guidelines on sound remuneration policies under the Alternative Investment Fund Managers Directive (AIFMD). July 2013.
• ESMA: Guidelines and recommendations on the scope on the CRA Regulation. June 2013.
• ESMA-EBA: Principles for benchmark-setting processes in the EU. June 2013.
• ESMA: Guidelines on remuneration policies and practices (MiFID). June 2013.
• ESMA: Guidelines and recommendations regarding written agreements between members of CCP colleges. July 2013.
• ESMA: Guidelines on key concepts of the Alternative Investment Fund Managers Directive. May 2013.
• ESMA: Guidelines and recommendations for establishing consistent, efficient and effective assessments of interoperability arrangements. March 2013.
• ESMA: Final report regarding the role of the proxy advisory industry. February 2013.
• ESMA: Guidelines on the exemption for market making activities and primary market operations under short selling Regulation. February 2013.
• ESMA: Guidelines on repurchase and reverse repurchase agreements for UCITs Funds. December 2012.
• ESMA warns retail investors about the pitfalls of online investing. September 2012.
• ESMA- Guidelines on ETFs and other UCITS issues. July 2012.
• ESMA- Guidelines on certain aspects of the MiFID suitability requirements. July 2012.
• ESMA-Guidelines on certain aspects of the MiFID compliance function requirements.July 2012.
• ESMA- Annual Report for 2011. June 2012.
• ESMA- Prospectus Directive- Good practices in the approval process. May 2012.
• ESMA- Actual use of sanctioning powers under MAD. April 2012.
• ESMA- Guidelines on systems and controls in an automated trading environment for trading platforms, investment firms and competent authorities. December 2011.
• ESMA- Guidelines on endorsement and use for regulatory purposes of credit ratings issued outside the European Union after 6 june 2011. May 2011.
• ESMA- Guidelines on risk measurement and the calculation of global exposure for certain types of structured UCITs. April 2011.

CESR

• CESR- Technical details of the pan-European short selling disclosure regime. May 2010.
• CESR- Model for a pan-european short selling disclosure regime. March 2010.
• CESR - Classification and identification of OTC derivative instruments for the purpose of the exchange of transaction reports amongst CESR Members (22/07/2009)
• CESR Statement - Application of and disclosures related to the reclassification of financial instruments (15/07/09)
• CESR - Transparency of corporate bond, structure finance product and credit derivatives markets. July 2009
• CESR - CESR maps coherence, equivalence and variance of supervisory Powers and sanctioning regimes of the Transparency Directive. (July 2009)
• CESR /ESBC - Recommendations for securities settlement Systems and recommendations for central counterparties in the European Union. (May 2009)
• CESR - Impact of the MiFID on equity secondary markets functioning. (10/06/2009)
• CESR - Report on compliance of EU based Credit Rating Agencies with the 2008 IOSCO Code of Conduct. (May 2009)
• CESR - Third set of CESR guidance and information on the common operation of the Market Abuse Directive to the market: guidelines and feedback statement. (15/05/2009)
• CESR - 3L3 Joint Contribution to the European Commission´s consultation on the improvement of supervision for the financial services sector. (10-abril-2009).
• CESR - Statement on measures recently adopted by CESR Members on short-selling. (31/03/2009).
• CESR - The Lehman Brothers default: an assesment of the market impact.(23/03/2009)
• CESR - Risk Management principles for UCITS (Re. CESR/09-178).
• CESR - CESR Report on the mapping of supervisory powers, supervisory practices, administrative and criminal sanctioning regimes of Member States in relation to the Markets in Financial Instrument Directive (MiFID) (Ref. CESR/08-220).
• CESR - Frequently asked questions regarding prospectuses: Common positions agreed by CESR Members (February 2009).
• CESR - CESR Statement on the reclassification of financial instruments and other related issues (07/01/09)
• CESR - CESR Statement on Fair Value measurement and related disclosures of financial instruments in illiquid markets (Ref. CESR/08-713b).
• CESR - CESR´s annual report.
• CESR - CESR´s Second report to the European Commission on the compliance of credit rating agencies with the IOSCO Code. The role of credit rating agencies in structured finance. (Ref. CESR/08-277).
• CESR - Passport under MiFID - Recommendations for the implementation of the Directive and Statement on practical arrangements regarding the late transposition of MiFID (Ref. CESR/07-337b). Protocol on MiFID Passport Notifications - revised (Ref. CESR/07-317b).
• CESR - Criterios de CESR para la aplicación común de la Directiva de abuso de mercado en materia de información privilegiada. Julio 2007 (Ref. CESR/06-562b). Documento en español, versión no oficial traducida por la CNMV.
• CESR - Informe técnico de CESR a la Comisión Europea sobre posibles medidas respecto a las agencias de calificación crediticia (Ref. CESR/05-139b). Marzo de 2005. Nota de prensa.
• CESR - Criterios de CESR para la correcta implementación de la Directiva sobre las operaciones con información privilegiada y la manipulación del mercado ("abuso de mercado") (Ref. CESR/04-505b). Feedback Statement. Nota de prensa.