| 19.11.2019 | AML | Commissariat aux Assurances | Circular | Circular CAA 19 -18 in relation to FATF statements | |
| 15.10.2019 | AML | Commissariat aux Assurances | Circular | Circular CAA 19 -16 introducing a qualitative questionnaire for assessing the risk exposure to money laundering and terrorist financing ("AML/CFT") for life insurance companies | |
| 18.03.2019 | AML | Commissariat aux Assurances | Circular | Circular CAA 19-11 on amendments to Article 47 of CAA Regulation 13/01 of 23 December 2013 on anti-money laundering and counter-terrorist financing concerning the report to be provided by the auditors of licensed insurance and reinsurance undertakings | |
| 14.03.2019 | AML | Commissariat aux Assurances | Regulation | CAA Regulation 19-04 of February 26, 2019 amending CAA 13-01 of December 23, 2013 on the fight against money laundering and the financing of terrorism | |
| 05.03.2019 | AML | Commissariat aux Assurances | Circular | Circular CAA 19-08 introducing a qualitative questionnaire on the combat against money laundering and terrorist financing ("AML/CFT") for brokers | |
| 22.10.2018 | AML | Commissariat aux Assurances | Circular | Circular CAA 18-09 specifying the modalities for introducing new evaluation risk questionnaires of exposure to money laundering and terrorist financing for life insurance companies | |
| 10.07.2018 | EMIR | Commissariat aux Assurances | Note | Information Note and request for information | |
| 04.04.2018 | AML | Commissariat aux Assurances | Circular | Circular CAA 18-05 in relation to FATF statements | |
| 04.04.2018 | AML | Commissariat aux Assurances | Circular | Circular CAA 18-04 regarding the adoption of the joint guidelines issued by the three European Supervisory (EBA/ESMA/EIOPA) on money laundering and terrorist financing risk factors | |
| 28.11.2017 | AML | Commissariat aux Assurances | Circular | Circular CAA 17-10 on the application of the new AML questionnaire | |
| 09.12.2015 | Solvency II | Commissariat aux Assurances | Regulation | Regulation concerning insurance and reinsurance undertakings | |
| 23.12.2013 | AML | Commissariat aux Assurances | Regulation | CAA Regulation 13-01 on the fight against money laundering and terrorist financing | |
| 10.01.2020 | AML | Commission de Surveillance du Secteur Financier | Report | Supranational risk assessment of the money laundering and terrorist financing risks affecting the Union | |
| 20.12.2019 | AML | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 19/732:Prevention of Money Laundering and Terrorist Financing: Clarifications on the Identification and Verification of the Identity of the Ultimate Beneficial Owner(s) | |
| 06.11.2019 | AML | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 19/730 on FATF statements | |
| 21.01.2019 | MMF | Commission de Surveillance du Secteur Financier | Press Release | Press release 19/03 - Joint statement of the Central Bank of Ireland and the Commission de Surveillance du Secteur Financier on the treatment of share cancellation under MMF Regulation on MMF | |
| 20.12.2018 | AML | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 18/702: Developments regarding the fight against money laundering and terrorist financing (AML/CFT) in the private banking sector | |
| 27.11.2018 | Benchmarks | Commission de Surveillance du Secteur Financier | Communication | Communication regarding Benchmarks Regulation (only in French) | |
| 28.08.2018 | MMF | Commission de Surveillance du Secteur Financier | Questions and Answers | Frequently Asked Questions concerning the Regulation (EU) 2017/1131 on money market funds | |
| 23.08.2018 | AIFMD | Commission de Surveillance du Secteur Financier | Circular | CSSF Circular 18/697 on organisational arrangements applicable to depositaries of non-UCITS funds (FR only) | |
| 23.08.2018 | RAIF | Commission de Surveillance du Secteur Financier | Circular | CSSF Circular 18/697 on organisational arrangements applicable to depositaries of non-UCITS funds (FR only) | |
| 23.08.2018 | SICAR | Commission de Surveillance du Secteur Financier | Circular | CSSF Circular 18/697 on organisational arrangements applicable to depositaries of non-UCITS funds (FR only) | |
| 23.08.2018 | SIF | Commission de Surveillance du Secteur Financier | Circular | CSSF Circular 18/697 on organisational arrangements applicable to depositaries of non-UCITS funds (FR only) | |
| 23.08.2018 | UCI | Commission de Surveillance du Secteur Financier | Circular | CSSF Circular 18/697 on organisational arrangements applicable to depositaries of non-UCITS funds (FR only) | |
| 23.08.2018 | AIFMD | Commission de Surveillance du Secteur Financier | Circular | CSSF Circular 18/698 - Authorisation and organisation of investment fund managers incorporated under Luxembourg law - Specific provisions on the fight against money laundering and terrorist financing applicable to investment fund managers and entities carrying out the activity of registrar agent | |
| 23.08.2018 | UCITS | Commission de Surveillance du Secteur Financier | Circular | CSSF Circular 18/698 - Authorisation and organisation of investment fund managers incorporated under Luxembourg law - Specific provisions on the fight against money laundering and terrorist financing applicable to investment fund managers and entities carrying out the activity of registrar agent | |
| 23.08.2018 | AML | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 18/698: Specific provisions on the fight against money laundering and terrorist financing applicable to investment fund managers and entities carrying out the activity of registrar agent | |
| 07.08.2018 | MMF | Commission de Surveillance du Secteur Financier | Other | Application questionnaire for MMF | |
| 31.07.2018 | Benchmarks | Commission de Surveillance du Secteur Financier | Other | Benchmark Regulation questionnaire | |
| 20.07.2018 | MMF | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 18/696: Guidelines of the European Securities and Markets Authority on stress tests scenarios under Article 28 of the Money Market Fund Regulation (only in French) | |
| 13.07.2018 | EMIR | Commission de Surveillance du Secteur Financier | Press Release | Press release - communication with regard to EMIR reporting | |
| 13.03.2018 | AML | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 18/684 (only in French) relating the entry into force of the Law of 13 February 2018 amending, inter alia, the Law of 12 November 2004 on the fight against money laundering and terrorist financing | |
| 23.02.2018 | Transparency Directive | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 08/337 as amended by Circulars CSSF 12/542, CSSF 16/637 and CSSF 18/679 Law of 11 January 2008 and Grand-ducal Regulation of 11 January 2008 on transparency requirements for issuers, as amended | |
| 20.02.2018 | AIFMD | Commission de Surveillance du Secteur Financier | Application | Application form for autorisation as Alternative Investment Fund Manager (AIFM) (February 20, 2018 updated) | |
| 23.01.2018 | Transparency Directive | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 18/679 Update of Circular CSSF 08/337 on the entry into force of the Law of 11 January 2008and of the Grand-ducal regulation of 11 January 2008 on transparency requirementsfor issuers, as amended | |
| 23.01.2018 | AML | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 18/680 (only in French) regarding the joint guidelines of the three European Supervisory Authorities on the measures payment service providers should take to detect missing or incomplete information on the payer or the payee | |
| 05.01.2018 | UCI | Commission de Surveillance du Secteur Financier | Questions and Answers | Frequently Asked Questions concerning the Luxembourg Law of 17 December 2010 relating to undertakings for collective investment (January 5, 2018 updated) | |
| 05.01.2018 | UCITS | Commission de Surveillance du Secteur Financier | Questions and Answers | Frequently Asked Questions concerning the Luxembourg Law of 17 December 2010 relating to undertakings for collective investment (January 5, 2018 updated) | |
| 15.12.2017 | Transparency Directive | Commission de Surveillance du Secteur Financier | Press Release | Press Release 16/02 Enforcement of the 2017 Financial Information Published by Issuers Subject to the Transparency Law | |
| 21.11.2017 | AML | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 07/327 in relation to FATF statement on Iran and guidance regarding the implementation of certain UN resolutions | |
| 30.10.2017 | Benchmarks | Commission de Surveillance du Secteur Financier | Press Release | Press release 17/36 on Regulation (EU) 2016/1011 on indices used as benchmarks (French only) | |
| 13.10.2017 | MiFID II | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 17/670 | |
| 13.10.2017 | SICAR | Commission de Surveillance du Secteur Financier | Circular | Circular 17/671 on specifications regarding CSSF Regulation N° 16-07 of 26 October 2016 relating to out-of-court complaint resolution (FR only) | |
| 13.10.2017 | SIF | Commission de Surveillance du Secteur Financier | Circular | Circular 17/671 on specifications regarding CSSF Regulation N° 16-07 of 26 October 2016 relating to out-of-court complaint resolution (FR only) | |
| 13.10.2017 | UCI | Commission de Surveillance du Secteur Financier | Circular | Circular 17/671 on specifications regarding CSSF Regulation N° 16-07 of 26 October 2016 relating to out-of-court complaint resolution (FR only) | |
| 13.10.2017 | UCITS | Commission de Surveillance du Secteur Financier | Circular | Circular 17/671 on specifications regarding CSSF Regulation N° 16-07 of 26 October 2016 relating to out-of-court complaint resolution (FR only) | |
| 31.07.2017 | MiFID II | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 17/665 | |
| 24.07.2017 | AML | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 17/661 regarding the adoption of the joint guidelines issued by the three European Supervisory (EBA/ESMA/EIOPA) on money laundering and terrorist financing risk factors | |
| 06.07.2017 | SICAR | Commission de Surveillance du Secteur Financier | Questions and Answers | Frequently Asked Questions concerning specialised investment funds (SIFs) under the law of 13 February 2007 and investment companies in risk capital (SICARs) under the law of 15 June 2004 that do not qualify as alternative investment funds (AIFs) (July 6, 2017) | |
| 06.07.2017 | UCI | Commission de Surveillance du Secteur Financier | Questions and Answers | Frequently Asked Questions concerning the Luxembourg Law of 17 December 2010 relating to undertakings for collective investment (July 6, 2017 updated) | |
| 06.07.2017 | AIFMD | Commission de Surveillance du Secteur Financier | Questions and Answers | Frequently Asked Questions concerning the Luxembourg Law of 12 July 2013 on alternative investment fund managers as well as the Commission Delegated Regulation (EU) No 231/2013 of 19 December 2012 supplementing Directive 2011/61/EU of the European Parliament and of the Council with regard to exemptions, general operating conditions, depositaries, leverage transparency and supervision (July 6, 2017 updated) | |
| 06.07.2017 | SIF | Commission de Surveillance du Secteur Financier | Questions and Answers | Frequently Asked Questions concerning specialised investment funds (SIFs) under the law of 13 February 2007 and investment companies in risk capital (SICARs) under the law of 15 June 2004 that do not qualify as alternative investment funds (AIFs) (July 6, 2017) | |
| 04.07.2017 | AML | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 17/660 on Regulation (EU) 2015/847 of the European Parliament and of the Council of 20 May 2015 on information accompanying transfers of funds and repealing Regulation (EC) No 1781/2006 | |
| 01.06.2017 | Securitisation | Commission de Surveillance du Secteur Financier | Other | Explanations concerning the authorisation procedure for a securitisation undertaking | |
| 11.05.2017 | EMIR | Commission de Surveillance du Secteur Financier | Communication | Communiqué EMIR – Obligations of non-financial counterparties to derivative contracts - CSSF measures and priorities | |
| 14.03.2017 | Market Abuse | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 17/653 Guidelines of the European Securities and Markets Authority (ESMA) on the definition of inside information relating to commodity derivatives in accordance with Article 7(1)(b) of Regulation (EU) No 596/2014 on market abuse ("MAR") | |
| 17.02.2017 | AML | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 17/650 on the application of the Law of 12 November 2004 on the fight against money laundering and terrorist financing, as amended and Grand-ducal Regulation of 1 February 2010 providing details on certain provisions of the AML/CFT Law to predicate tax offences | |
| 11.01.2017 | Market Abuse | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 17/648 Guidelines of the European Securities and Markets Authority (ESMA) in relation to the factors, the steps and the records that the persons receiving the market soundings will have to consider and implement according to Article 11(11) of Regulation (EU) No 596/2014 on market abuse (“MAR”) | |
| 22.12.2016 | Transparency Directive | Commission de Surveillance du Secteur Financier | Press Release | Press Release 16/46 Compliance of the Issuers with Esma Guidelines on Alternative Performance Measures and Circular CSSF 16/636 | |
| 20.12.2016 | Market Abuse | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 16/646 ESMA Guidelines on the delay in the disclosure of inside information in accordance with Article 17(4) of Regulation (EU) No 596/2014 on market abuse (“MAR”) | |
| 13.12.2016 | MiFIR | Commission de Surveillance du Secteur Financier | Press Release | Press Release 16/43 - Communication Regarding Article 26 (Obligation to report transactions) of MiFIR | |
| 11.11.2016 | SICAR | Commission de Surveillance du Secteur Financier | Regulation | CSSF Regulation N° 16-07 relating to out-of-court complaint resolution | |
| 11.11.2016 | SIF | Commission de Surveillance du Secteur Financier | Regulation | CSSF Regulation N° 16-07 relating to out-of-court complaint resolution | |
| 11.11.2016 | UCITS | Commission de Surveillance du Secteur Financier | Regulation | CSSF Regulation N° 16-07 relating to out-of-court complaint resolution | |
| 11.11.2016 | UCI | Commission de Surveillance du Secteur Financier | Regulation | CSSF Regulation N° 16-07 relating to out-of-court complaint resolution | |
| 11.10.2016 | UCITS | Commission de Surveillance du Secteur Financier | Circular | Circular CCSF 16/644 on provisions applicable to credit institutions acting as UCITS depositary subject to Part I of the law of the 17 December 2010 relating to undertakings for collective investment and to all UCITS, where appropriate, represented by their management company (Only in French) | |
| 27.06.2016 | Transparency Directive | Commission de Surveillance du Secteur Financier | Questions and Answers | Frequently Asked Questions on the law and the Grand-ducal regulation of 11 January 2008 on transparency requirements for issuers of securities (The “Transparency Law” and the “Grand-ducal Transparency Regulation”) | |
| 22.06.2016 | Transparency Directive | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 16/638 Update of Circular CSSF 08/349 relating to details regarding the information to be notified with respect to major holdings in accordance with the Law of 11 January 2008 on transparency requirements for issuers | |
| 22.06.2016 | Transparency Directive | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 16/637 Update of Circular CSSF 08/337 on the entry into force of the Law of 11January 2008 and of Grand-ducal Regulation of 11 January 2008 ontransparency requirements for issuers, as amended | |
| 22.06.2016 | Transparency Directive | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 08/349 as amended by Circular CSSF 16/638 Details regarding the information to be notified with respect to major holdings in accordance with the law of 11 January 2008 on transparency requirements for issuers, as amended | |
| 02.03.2016 | UCITS | Commission de Surveillance du Secteur Financier | Press Release | Practical issues in relation to the UCITS V regime and depositary aspects in relation to part II UCIs | |
| 13.01.2016 | SIF | Commission de Surveillance du Secteur Financier | Regulation | CSSF Regulation N° 15-07 laying down detailed rules for the application of Article 42a of the law of 13 February 2007 | |
| 13.01.2016 | SICAR | Commission de Surveillance du Secteur Financier | Regulation | CSSF Regulation N° 15-08 laying down detailed rules for the application of Article 7a of the law of 15 June 2004 relating to the investment company in risk capital (SICAR) as regards the requirements in relation to the management of conflicts of interest for SICARs which are not referred to in the specific provisions of Part II of that law | |
| 11.01.2016 | Transparency Directive | Commission de Surveillance du Secteur Financier | Press Release | Presse Release 17/43 Enforcement of the 2015 Financial Information Published by Issuers of Securities Subject to the Transparency Law | |
| 29.12.2015 | AIFMD | Commission de Surveillance du Secteur Financier | Circular | Financial information to be provided by AIFMs on a quartlerly basis (FR only) | |
| 08.12.2015 | UCI | Commission de Surveillance du Secteur Financier | Questions and Answers | Frequently Asked Questions concerning the Luxembourg Law of 17 December 2010 relating to undertakings for collective investment (December 8, 2015) | |
| 27.11.2015 | AIFMD | Commission de Surveillance du Secteur Financier | Regulation | CSSF Regulation N° 15-03 on the application of Article 46 of the Law of 12 July 2013 on Alternative Investment Fund Managers with regard to marketing of foreign AIF to retail investors (FR only) | |
| 27.11.2015 | Transparency Directive | Commission de Surveillance du Secteur Financier | Press Release | Press Release 15/49 New Transparency Requirements for Issuers of Securities | |
| 11.06.2015 | MiFID I | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 15/615 On the transposition of ESMA guidelines on the application of the definitions of commodity derivatives in Sections C6 and C7 of Annex I of Directive 2004/39/EC (MiFID) | |
| 22.05.2015 | Transparency Directive | Commission de Surveillance du Secteur Financier | Press Release | Press Release 15/23 End of the exemption set out in Article 30(6) of the Transparency Law | |
| 05.05.2015 | AIFMD | Commission de Surveillance du Secteur Financier | Circular | CSSF Circular 15/612 on information to be submitted to the CSSF in relation to unregulated alternative investment funds (established in Luxembourg, in another Member State of the European Union or in a third country) and/or regulated alternative investment funds established in a third country | |
| 27.03.2015 | UCI | Commission de Surveillance du Secteur Financier | Press Release | Bearer shares and units: Warning to holders and issuers (FR only) | |
| 27.03.2015 | UCITS | Commission de Surveillance du Secteur Financier | Press Release | Bearer shares and units: Warning to holders and issuers (FR only) | |
| 27.03.2015 | SIF | Commission de Surveillance du Secteur Financier | Press Release | Bearer shares and units: Warning to holders and issuers (FR only) | |
| 27.03.2015 | SICAR | Commission de Surveillance du Secteur Financier | Press Release | Bearer shares and units: Warning to holders and issuers (FR only) | |
| 27.03.2015 | AML | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 15/609 in relation to developments in automatic exchange of tax information and anti-money laundering in tax matters | |
| 26.01.2015 | CRA | Commission de Surveillance du Secteur Financier | Communication | Communique for the attention of entities using rating agencies | |
| 30.12.2014 | UCITS | Commission de Surveillance du Secteur Financier | Questions and Answers | Frequently Asked Questions concerning the Law of 28 July 2014 regarding immobilisation of bearer shares and units (30 December, 2014) | |
| 30.12.2014 | UCI | Commission de Surveillance du Secteur Financier | Questions and Answers | Frequently Asked Questions concerning the Law of 28 July 2014 regarding immobilisation of bearer shares and units (30 December, 2014) | |
| 30.12.2014 | SIF | Commission de Surveillance du Secteur Financier | Questions and Answers | Frequently Asked Questions concerning the Law of 28 July 2014 regarding immobilisation of bearer shares and units (30 December, 2014) | |
| 30.12.2014 | SICAR | Commission de Surveillance du Secteur Financier | Questions and Answers | Frequently Asked Questions concerning the Law of 28 July 2014 regarding immobilisation of bearer shares and units (30 December, 2014) | |
| 02.12.2014 | MMF | Commission de Surveillance du Secteur Financier | Circular | Circular 14/598 on the opinion of the European Securities Markets Authority (ESMA) on the review of the CESR’s Guidelines on a common definition of European money market funds (CESR/10-049) (FR Only) | |
| 10.10.2014 | AML | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 14/595 on FATF statements concerning: 1) jurisdictions whose anti-money laundering and combating the financing of terrorism regime has substantial and strategic deficiencies; 2) jurisdictions not making sufficient progress; 3) jurisdictions whose anti-money laundering and combating the financing of terrorism regime is not satisfactory (October 10, 2014 updated). | |
| 22.07.2014 | UCI | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 14/591 on the protection of investors in case of a material change to an open-ended undertaking for collective investment | |
| 22.07.2014 | UCITS | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 14/591 on the protection of investors in case of a material change to an open-ended undertaking for collective investment | |
| 28.05.2014 | UCI | Commission de Surveillance du Secteur Financier | Circular | CSSF Circular 14/588 on the modification of the statistical data collection for money market and non-money market investment funds (FR Only) | |
| 28.05.2014 | UCITS | Commission de Surveillance du Secteur Financier | Circular | CSSF Circular 14/588 on the modification of the statistical data collection for money market and non-money market investment funds (FR Only) | |
| 25.02.2014 | MiFID I | Commission de Surveillance du Secteur Financier | Circular | Transposition of European Securities Markets Authorities orientations (ESMA) regarding remunerations policies (MiFID) - Additional Annex V to the CSSF Circular 07/307 | |
| 13.01.2014 | AIFMD | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 14/581 on new reporting obligations for Alternative Investment Fund Managers | |
| 23.10.2013 | Securitisation | Commission de Surveillance du Secteur Financier | Questions and Answers | Frequently Asked Questions on Securisation | |
| 02.08.2013 | EuSEF | Commission de Surveillance du Secteur Financier | Press Release | Guidance in relation to Regulation (EU) NO 345/2013 (EUVECA) and Regulation (EU) NO 346/2013 (EUSEF) | |
| 02.08.2013 | EuVECA | Commission de Surveillance du Secteur Financier | Press Release | Guidance in relation to Regulation (EU) NO 345/2013 (EUVECA) and Regulation (EU) NO 346/2013 (EUSEF) | |
| 18.07.2013 | AIFMD | Commission de Surveillance du Secteur Financier | Press Release | Practical Guidance in relation to the registration or authorisation under the AIFMD law of AIFM established in Luxembourg | |
| 24.06.2013 | UCITS | Commission de Surveillance du Secteur Financier | Questions and Answers | Master / Feeder Structures Frequently Asked Questions | |
| 24.06.2013 | EMIR | Commission de Surveillance du Secteur Financier | Press Release | Press Release 13/26 Reminder to all concerned entities of the obligations applicable to them under EMIR | |
| 28.03.2013 | UCI | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 13/564 on modification of the statistical data collections for money market funds and non-money market funds (FR only) | |
| 19.02.2013 | MiFID I | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 13/560 transposing the guidelines of the European Securities and Markets Authority (ESMA) concerning Chapter 6 - Suitability test - of Circular CSSF 07/307 | |
| 18.02.2013 | UCITS | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 13/559 on ESMA guidelines on ETFs and other UCITS issues | |
| 23.01.2013 | EMIR | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 13/557 on Regulation (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories (EMIR) | |
| 16.01.2013 | AML | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 13/556 regarding the entry into force of CSSF Regulation N° 12-02 of 14 December 2012 on the fight against money laundering and terrorist financing | |
| 14.12.2012 | AML | Commission de Surveillance du Secteur Financier | Regulation | CSSF Regulation N°12-02 on the fight against money laundering and terrorist financing | |
| 06.09.2012 | SIF | Commission de Surveillance du Secteur Financier | Regulation | CSSF Regulation N° 12-01 laying down detailed rules for the application of Article 42a of the law of 13 February 2007 relating to SIF concerning the requirements regarding risk management and conflicts of interest | |
| 17.07.2012 | Transparency Directive | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 12/542 on amendment of Circular CSSF 08/337 on the entry into force of the law of 11 January 2008 and of the Grand-ducal regulation of 11 January 2008 on transparency requirements for issuers of securities | |
| 09.07.2012 | UCI | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 12/540 on non-launched compartments, compartments awaiting reactivation and compartments in liquidation | |
| 09.07.2012 | UCITS | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 12/540 on non-launched compartments, compartments awaiting reactivation and compartments in liquidation | |
| 09.07.2012 | SIF | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 12/540 on non-launched compartments, compartments awaiting reactivation and compartments in liquidation | |
| 20.04.2012 | SIF | Commission de Surveillance du Secteur Financier | Press Release | Press Release 12/16 Specialised Investment Funds: Entry into force of the Law of 26 March 2012 and information to be provided to the CSSF | |
| 27.03.2012 | MiFID I | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 12/536 on guidelines of the European Securities and Markets Authority (ESMA) on systems and controls in an automated trading environment | |
| 22.12.2011 | AML | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 11/529 on risk analysis regarding the fight against money laundering and terrorist financing (AML/CFT) | |
| 15.12.2011 | AML | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 11/528 on abolition of transmission to the CSSF of suspicious transaction reports regarding potential money laundering or terrorist financing | |
| 19.07.2011 | AML | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 11/519 on risk analysis regarding the fight against money laundering and terrorist financing (AML/CFT) | |
| 30.05.2011 | UCITS | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 11/512 on presentation of the main regulatory changes in risk management following the publication of CSSF Regulation 10-4 and ESMA clarifications, further clarifications from the CSSF on risk management rules and definition of the content and format of the risk management process to be communicated to the CSSF | |
| 15.04.2011 | UCITS | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 11/509 on new notification procedures to be followed by a UCITS governed by Luxembourg law wishing to market its units in another Member State of the EU and by a UCITS of another Member State of the EU wishing to market its units in Luxembourg | |
| 10.01.2011 | UCI | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 11/498 on entry into force law of 17 December 2010, CSSF Regulations 10-4 and 10-5, and diverse CESR guidelines | |
| 10.01.2011 | UCITS | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 11/498 on entry into force law of 17 December 2010, CSSF Regulations 10-4 and 10-5, and diverse CESR guidelines | |
| 24.12.2010 | UCITS | Commission de Surveillance du Secteur Financier | Regulation | CSSF Regulation N° 10-04 transposing Commission Directive 2010/43/EU implementing Directive 2009/65/EC ("UCITS IV") as regards organisational requirements, conflicts of interest, conduct of business, risk managmenet and content of the agreement between a depositary and a management company | |
| 24.12.2010 | UCITS | Commission de Surveillance du Secteur Financier | Regulation | CSSF Regulation N° 10-05, as amended by CSSF Regulation N° 11-04, transposing Commission Directive 2010/44/EU implementing Directive 2009/65/EC ("UCITS IV") as regards certain provisions concerning fund mergers, master-feeder structures and notification procedure | |
| 09.12.2010 | AML | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 10/495 entry into force of law of 27 October 2010 on the fight against money laundering and terrorist financing | |
| 11.10.2010 | AML | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 10/486 in relation to the fight against money laundering and terrorist financing: amendment of certain provisions of Circular CSSF 03/113 | |
| 26.08.2010 | AML | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 10/484 in relation to the fight against money laundering and terrorist financing and amending certain provisions of Circular CSSF 01/27 | |
| 01.07.2010 | UCITS | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 10/467 on Electronic transmission of financial information to be transmitted to the CSSF on a periodic basis by Chapter 15 management companies and modifications to certain periodic tables | |
| 11.05.2010 | AML | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 10/458: Measures concerning the Democratic People's Republic of Korea (DPRK) | |
| 01.02.2010 | UCI | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 10/437 on guidelines concerning the remuneration policies in the financial sector | |
| 01.02.2010 | UCITS | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 10/437 on guidelines concerning the remuneration policies in the financial sector | |
| 01.02.2010 | SIF | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 10/437 on guidelines concerning the remuneration policies in the financial sector | |
| 01.02.2010 | EuSEF | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 10/437 on guidelines concerning the remuneration policies in the financial sector | |
| 01.02.2010 | EuVECA | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 10/437 on guidelines concerning the remuneration policies in the financial sector | |
| 02.12.2009 | UCI | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 09/423 on electronic transmission to the CSSF of long form reports and management letters | |
| 02.12.2009 | UCITS | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 09/423 on electronic transmission to the CSSF of long form reports and management letters | |
| 16.12.2008 | Transparency Directive | Commission de Surveillance du Secteur Financier | Other | Circular Letter Implementation of the officially appointed mechanism for the central storage of regulated information ("OAM") within the meaning of the law of 11 January 2008 on transparency requirements for issuers of securities and reminder of the requirements in relation to storage, dissemination and filing with the CSSF of this information | |
| 23.10.2008 | SICAR | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 08/376 on Financial Information to be submitted by investment companies in risk capital (SICARs) | |
| 05.09.2008 | UCI | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 08/371 on electronic transmission of prospectuses and financial reports of UCIs and SIFs to the CSSF | |
| 05.09.2008 | UCITS | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 08/371 on electronic transmission of prospectuses and financial reports of UCIs and SIFs to the CSSF | |
| 05.09.2008 | SIF | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 08/371 on electronic transmission of prospectuses and financial reports of UCIs and SIFs to the CSSF | |
| 05.09.2008 | SIF | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 08/372 on guidelines for depositaries of specialised investment funds adopting alternative investment strategies, where those funds use the services of a prime broker | |
| 23.07.2008 | MiFID I | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 08/365 on additional specifications relating to the requirement to report transactions in financial instruments in accordance with article 28 of the law of 13 July 2007 on markets in financial instruments | |
| 27.06.2008 | Transparency Directive | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 08/359 Minimum quality standards to be complied with by an officiallyappointed mechanism for the central storage of regulated information | |
| 04.06.2008 | UCI | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 08/356 on rules applicable to UCI when they employ certain techniques and instruments relating to transferable securities and money market instruments | |
| 04.06.2008 | UCITS | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 08/356 on rules applicable to UCI when they employ certain techniques and instruments relating to transferable securities and money market instruments | |
| 17.04.2008 | SIF | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 08/348 on Changes to circulars IML 97/136 and CSSF 07/310 (reporting to the CSSF) | |
| 19.02.2008 | UCITS | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 08/339, as amended by Circular CSSF 08/380 on guidelines of the Committee of European Securities Regulators (CESR) concerning eligible assets for investment by UCITS | |
| 04.01.2008 | MiFID I | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 08/334 on encryption specifications for reporting firms | |
| 07.11.2007 | Market Abuse | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 07/323 amending Circular CSSF 07/280 on the implementation rules of the law of 9 May 2006 on market abuse | |
| 03.08.2007 | SIF | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 07/309 on risk-spreading in the context of specialised investment funds ("SIF") | |
| 03.08.2007 | SIF | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 07/310, as amended by Circular CSSF 08/348, on Financial Information to be provided by specialised investment funds ("SIF") | |
| 02.08.2007 | UCITS | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 07/308 on rules of conduct to be adopted by undertakings for collective investment in transferable securities with respect to the use of a method for the management of financial risks, as well as the use of derivative financial instruments | |
| 31.07.2007 | MiFID I | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 07/307 (as amended by Circular CSSF 13/560) MiFID: Conduct of business rules in the financial sector | |
| 27.07.2007 | MiFID I | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 07/306 on technical arrangements relating to the requirement to report transactions in financial instruments in accordance with article 28 of the law of 13 July 2007 on markets in financial instruments | |
| 17.07.2007 | MiFID I | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 07/302 on details of the requirement to report transactions in financial instruments in financial instruments in accordance with article 28 of the law of 13 July 2007 on markets in financial instruments | |
| 28.02.2007 | SIF | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 07/283 on entry into force of the law of 13 February 2007 relating to specialised investment funds | |
| 05.02.2007 | Market Abuse | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 07/280 (as amended by Circular CSSF 07/323) on implementation rules of the law of 9 May 2006 on market abuse | |
| 09.01.2007 | UCITS | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 07/277 on new notification procedure in line with CESR guidelines regarding the simplification of the UCITS notification procedure | |
| 17.10.2006 | AML | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 06/263: Combating money laundering and terrorist financing – list of non-cooperative countries and territories (NCCTs) | |
| 17.08.2006 | Market Abuse | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 06/257 on entry into force of the law of 9 May 2006 on market abuse | |
| 08.06.2006 | AML | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 06/247: Business relationships and transactions with natural or legal persons of North Korea | |
| 05.04.2006 | SICAR | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 06/241 on Concept of risk capital under the Law of 15 June 2004 relating to the investment company in risk capital (SICAR) | |
| 06.04.2005 | UCITS | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 05/177 on abolition of any prior control by the CSSF of advertising material used by persons and companies supervised by the CSSF; abrogation of point II. of Chapter L. of IML circular 91/75; abrogation of the two last sentences of point IV. 5.11 of CSSF circular 2000/15 | |
| 27.09.2004 | UCI | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 04/155 on the compliance function | |
| 17.06.2004 | UCI | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 04/146 on protection of UCI and their investors against Late Trading and Market Timing practices | |
| 28.02.2003 | UCI | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 03/97 on publication of the simplified and full prospectuses as well as the annual and half-yearly reports by UCI | |
| 22.01.2003 | UCI | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 03/88 on classification of UCI | |
| 22.01.2003 | UCITS | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 03/88 on classification of UCI | |
| 06.12.2002 | UCI | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 02/81 on guidelines concerning the task of auditors of UCI (external audit and longform report) | |
| 06.12.2002 | UCITS | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 02/81 on guidelines concerning the task of auditors of UCI (external audit and longform report) | |
| 05.12.2002 | UCI | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 02/80 on specific rules applicable for UCI pursuing alternative investment strategies | |
| 27.11.2002 | UCI | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 02/77 on protection of investors in case of NAV calculation error and correction of the consequences resulting from non-compliance with the investment rules applicable to UCI | |
| 27.11.2002 | UCITS | Commission de Surveillance du Secteur Financier | Circular | Circular CSSF 02/77 on protection of investors in case of NAV calculation error and correction of the consequences resulting from non-compliance with the investment rules applicable to UCI | |
| 13.06.1997 | UCI | Commission de Surveillance du Secteur Financier | Circular | Circular IML 97/136 (as amended by Circular CSSF 08/348) on financial information for the IML and STATEC | |
| 20.12.2010 | UCITS | Committee of European Securities Regulators - Now European Securities and Market Authority | Guidelines | Selection and presentation of performance scenarios in the Key Investor Information document (KIID) for structured UCITS | |
| 20.12.2010 | UCITS | Committee of European Securities Regulators - Now European Securities and Market Authority | Guidelines | CESR's guide to clear language and layout for the Key Investor Information document | |
| 20.12.2010 | UCITS | Committee of European Securities Regulators - Now European Securities and Market Authority | Guidelines | CESR's template for the Key Investor Information document | |
| 30.08.2010 | CRA | Committee of European Securities Regulators - Now European Securities and Market Authority | Guidelines | CESR’s Guidance on the enforcement practices and activities to be conducted under Article 21.3(a) of the Regulation | |
| 30.08.2010 | CRA | Committee of European Securities Regulators - Now European Securities and Market Authority | Guidelines | CESR’s Guidance on common standards for assessment of compliance of credit rating methodologies with the requirements set out in Article 8.3 | |
| 28.07.2010 | UCITS | Committee of European Securities Regulators - Now European Securities and Market Authority | Guidelines | CESR's guidelines on Risk Measurement and the Calculation of Global Exposure and Counterparty Risk for UCITS | |
| 01.07.2010 | UCITS | Committee of European Securities Regulators - Now European Securities and Market Authority | Guidelines | CESR's guidelines on the methodology for the calculation of the synthetic risk and reward indicator in the Key Investor Information Document | |
| 01.07.2010 | UCITS | Committee of European Securities Regulators - Now European Securities and Market Authority | Guidelines | CESR's guidelines on the methodology for calculation of the ongoing charges figure in the Key Investor Information Document | |
| 19.04.2010 | MiFID I | Committee of European Securities Regulators - Now European Securities and Market Authority | Questions and Answers | Understanding the definition of advice under MiFID | |
| 03.11.2009 | MiFID I | Committee of European Securities Regulators - Now European Securities and Market Authority | Questions and Answers | MiFID complex and non-complex financial instruments for the purposes of the Directive’s appropriateness requirements | |
| 09.07.2009 | MiFID I | Committee of European Securities Regulators - Now European Securities and Market Authority | Questions and Answers | Common positions agreed by CESR Members - 4th updated version - July 2009 | |
| 15.05.2009 | MiFID I | Committee of European Securities Regulators - Now European Securities and Market Authority | Questions and Answers | Common positions agreed by CESR Members - 3rd updated version - May 2009 | |
| 15.05.2009 | Market Abuse | Committee of European Securities Regulators - Now European Securities and Market Authority | Guidelines | Market Abuse Directive Level 3 – Third set of CESR guidance and information on the common operation of the Directive to the market | |
| 19.12.2008 | MiFID I | Committee of European Securities Regulators - Now European Securities and Market Authority | Questions and Answers | Common positions agreed by CESR Members - 2nd updated version - December 2008 | |
| 03.10.2008 | Market Abuse | Committee of European Securities Regulators - Now European Securities and Market Authority | Consultation Paper | Consultation paper- MAD Level 3 – Third set of CESR guidance and information on the common operation of the Directive to the market - CESR/08-717 | |
| 02.10.2008 | UCITS | Committee of European Securities Regulators - Now European Securities and Market Authority | Guidelines | CESR's guidelines concerning eligible assets for investment by UCITS (updated September 2008) | |
| 20.05.2008 | Market Abuse | Committee of European Securities Regulators - Now European Securities and Market Authority | Consultation Paper | Consultation paper- MAD Level 3 – Third set of CESR guidance and information on the common operation of the Directive to the market - CESR/08-274 | |
| 11.04.2008 | MiFID I | Committee of European Securities Regulators - Now European Securities and Market Authority | Questions and Answers | Common positions agreed by CESR Members | |
| 28.02.2008 | Market Abuse | Committee of European Securities Regulators - Now European Securities and Market Authority | Final Report | CESR Executive summary to the report on administrative measures and sanctions as well as the criminal sanctions available in Member States under the Market Abuse Directive | |
| 22.11.2007 | Market Abuse | Committee of European Securities Regulators - Now European Securities and Market Authority | Final Report | Report on Administrative Measures and Sanctions available in Member States under the Market Abuse Directive (MAD) | |
| 12.07.2007 | Market Abuse | Committee of European Securities Regulators - Now European Securities and Market Authority | Guidelines | Market Abuse Directive - Level 3 – Second set of CESR guidance and information on the common operation of the Directive | |
| 29.05.2007 | MiFID I | Committee of European Securities Regulators - Now European Securities and Market Authority | Recommendation | Inducements under MiFID | |
| 29.05.2007 | MiFID I | Committee of European Securities Regulators - Now European Securities and Market Authority | Questions and Answers | Best Execution under MiFID | |
| 29.05.2007 | MiFID I | Committee of European Securities Regulators - Now European Securities and Market Authority | Recommendation | The passport under MiFID | |
| 09.02.2007 | MiFID I | Committee of European Securities Regulators - Now European Securities and Market Authority | Guidelines | Publication and Consolidation of MiFID market transparency data - Level 3 CESR's guidelines and recommendations for the consistent implementation of the Directive 2004/39/EC and the EC's Regulation No 1287/2006 | |
| 09.02.2007 | MiFID I | Committee of European Securities Regulators - Now European Securities and Market Authority | Recommendation | CESR Level 3 Recommendations on the List of minimum records in article 51(3) of the MiFID implementing Directive | |
| 02.11.2006 | Market Abuse | Committee of European Securities Regulators - Now European Securities and Market Authority | Consultation Paper | Consultation paper- MAD Level 3 – second set of CESR guidance and information on the common operation of the Directive to the market | |
| 03.06.2005 | Market Abuse | Committee of European Securities Regulators - Now European Securities and Market Authority | Questions and Answers | MAD Accepted Market Practice (AMPs) | |
| 11.05.2005 | Market Abuse | Committee of European Securities Regulators - Now European Securities and Market Authority | Feedback statement | Feedback Statement- Market Abuse Directive, Level 3 – first set of guidance and information on the common operation of the Directive | |
| 11.05.2005 | Market Abuse | Committee of European Securities Regulators - Now European Securities and Market Authority | Guidelines | Market Abuse Directive - Level 3 – first set of CESR guidance and information on the common operation of the Directive | |
| 28.10.2004 | Market Abuse | Committee of European Securities Regulators - Now European Securities and Market Authority | Consultation Paper | Consultation paper- Facilitating the implementation of the Market Abuse Directive | |
| 15.07.2002 | Market Abuse | Committee of European Securities Regulators - Now European Securities and Market Authority | Consultation Paper | CESR’s Advice on possible Level 2 Implementing Measures for the proposed MAD | |
| 15.11.2013 | Benchmarks | Committee on Economic and Monetary Affairs | Draft Report | Draft report on the proposal for a regulation of the European Parliament and of the Council on indices used as benchmarks in financial instruments and financial contracts | |
| 15.11.2013 | MMF | Committee on Economic and Monetary Affairs | Draft Report | Draft report on the proposal for a regulation of the European Parliament and of the Council on Money Market Funds | |
| 13.11.2013 | ELTIF | Committee on Economic and Monetary Affairs | Draft Report | Draft report on the proposal for a regulation of the European Parliament and of the Council on European Long-term Investment Funds | |
| 19.03.2013 | FTT | Committee on Economic and Monetary Affairs | Draft Report | Draft report on the proposal for a council directive implementing enhanced cooperation in the area of financial transaction tax | |
| 13.02.2013 | CSDs | Committee on Economic and Monetary Affairs | Report | Report on the proposal for a regulation of the European Parliament and of the Council on improving securities settlement in the European Union and on central securities depositories (CSDs) and amending Directive 98/26/EC | |
| 05.10.2012 | MiFID II | Committee on Economic and Monetary Affairs | Report | Report on the proposal for a directive on markets in financial instruments repealing Directive 2004/39/EC | |
| 28.03.2012 | Solvency II | Committee on Economic and Monetary Affairs | Report | Report on the proposal for a directive amending Directives 2003/71/EC and 2009/138/EC in respect of the powers of the EIOPA and the ESMA | |
| 24.07.2019 | AML | European Commission | Report | Report assessing the conditions and the technical specifications and procedures for ensuring secure and efficient interconnection of central bank account registers and data retrieval system | |
| 24.07.2019 | AML | European Commission | Report | Supranational risk assessment of the money laundering and terrorist financing risks affecting the Union | |
| 14.05.2019 | AML | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) 2019/758 of 31 January 2019 supplementing Directive (EU) 2015/849 of the European Parliament and of the Council with regard to regulatory technical standards for the minimum action and the type of additional measures credit and financial institutions must take to mitigate money laundering and terrorist financing risk in certain third countries | |
| 14.05.2019 | AML | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) 2019/758 of 31 January 2019 supplementing Directive (EU) 2015/849 of the European Parliament and of the Council with regard to regulatory technical standards for the minimum action and the type of additional measures credit and financial institutions must take to mitigate money laundering and terrorist financing risk in certain third countries | |
| 12.07.2018 | AIFMD | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) 2018/1618 of 12 July 2018 amending Delegated Regulation (EU) No 231/2013 as regards safe-keeping duties of depositaries | |
| 12.07.2018 | UCITS | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) 2018/1619 of 12 July 2018 amending Delegated Regulation (EU) 2016/438 as regards safe-keeping duties of depositaries | |
| 26.04.2018 | Covered Bonds | European Commission | Proposal | Proposal for a Directive of the European Parliament and of the Council on the issue of covered bonds and covered bond public supervision and amending Directive 2009/65/EC and Directive 2014/59/EU | |
| 17.04.2018 | MMF | European Commission | Implementing Regulation | Commission Implementing Regulation (EU) 2018/708 of 17 April 2018 laying down implementing technical standards with regard to the template to be used by managers of MMF when reporting to competent authorities as stipulated by Article 37 of Regulation (EU) 2017/1131 of the European Parliament and of the Council | |
| 10.04.2018 | MMF | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) 2018/990 of 10 April 2018 amending and supplementing Regulation (EU) 2017/1131 of the European Parliament and of the Council with regard to simple, transparent and standardised (STS) securitisations and asset-backed commercial papers (ABCPs), requirements for assets received as part of reverse repurchase agreements and credit quality assessment methodologies | |
| 19.03.2018 | IDD | European Commission | Directive | Directive 2018/411 amending Directive 2016/97 as regards the date of application of Member States' transposition measures | |
| 14.03.2018 | NPL | European Commission | Proposal | Proposal for a Directive of the European Parliament and of the Council on credit servicers, credit purchasers and the recovery of collateral | |
| 14.03.2018 | NPL | European Commission | Impact Assessment | Impact assessment on the development of secondary markets for non-performing loans by removing undue impediments to loan servicing by third parties and the transfer of loans (Part 1/2) | |
| 14.03.2018 | NPL | European Commission | Impact Assessment | Impact assessment of the development of secondary markets for non-performing loans by removing undue impediments to loan servicing by third parties and the transfer of loans and Accelerated Extrajudicial Collateral Enforcement (Part 2/2) | |
| 12.03.2018 | Cross-border distribution | European Commission | Proposal | Proposal for a Directive of the European Parliament and of the Council amending Directive 2009/65/EC of the European Parliament and of the Council and Directive 2011/61/EU of the European Parliament and of the Council with regard to cross-border distribution of collective investment funds | |
| 12.03.2018 | Cross-border distribution | European Commission | Proposal | Proposal for a Regulation of the European Parliament and of the Council on facilitating cross-border distribution of collective investment funds and amending Regulations (EU) No 345/2013 and (EU) No 346/2013 | |
| 12.03.2018 | Covered Bonds | European Commission | Proposal | Proposal for a Regulation of the European Parliament and of the Council on amending regulation (EU) No 575/2013 as regards exposures in the form of covered bonds | |
| 12.03.2018 | Covered Bonds | European Commission | Impact Assessment | Impact Assessment on the Proposal for a Directive of the European Parliament and the Council on the issue of covered bonds and covered bond public supervision and amending Directive 2009/65/EC and Directive 2014/59/EU and Proposal for a Regulation of the European Parliament and the Council on amending Regulation(EU) No 575/2013 as regards exposures in the form of covered bonds | |
| 12.03.2018 | Cross-border distribution | European Commission | Impact Assessment - Full | Impact assessment to the Proposal for a REGULATION on facilitating cross-border distribution of collective investment funds and amending EuSEF and EUVECA and to the Proposal for a Directive with regard to cross-border distribution of collective investment funds amending the UCITS and the AIFM Directive | |
| 19.01.2018 | MMF | European Commission | Other | Letter of the EU Commission to ESMA on the use of Reverse Distribution Mechanism | |
| 20.12.2017 | IDD | European Commission | Proposal | Proposal for a Directive of the European parliament and of the Council amending Directive (EU) 2016/97 as regards the date of application of Member States' transposition measures | |
| 19.12.2017 | Benchmarks | European Commission | Implementing Regulation | Commission Implementing Regulation (EU) 2017/2446 of 19 December 2017 amending Implementing Regulation (EU) 2016/1368 establishing a list of critical benchmarks used in financial markets pursuant to Regulation (EU) 2016/1011 of the European Parliament and of the Council | |
| 16.11.2017 | SFTR | European Commission | Proposal | Draft Commission Delegated Regulation supplementing Regulation (EU) 2015/2365 of the European Parliament and of the Council with regard to fees charged by the European Securities and Markets Authority to trade repositories | |
| 29.10.2017 | Benchmarks | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) 2018/66 of 29 September 2017 supplementing Regulation (EU) 2016/1011 of the European Parliament and of the Council specifying how the nominal amount of financial instruments other than derivatives, the notional amount of derivatives and the net asset value of investment funds are to be assessed | |
| 19.10.2017 | SFTR | European Commission | Report | Report from the Commission to the European Parliament and the Council under Article 29(3) of Regulation (EU) 2015/2365 of 25 November 2015 on transparency of securities financing transactions and of reuse and amending Regulation (EU) No 648/2012 | |
| 13.10.2017 | Solvency II | European Commission | Delegated Regulation | Corrigendum to Commission Delegated Regulation (EU) 2017/1542 amending Delegated Regulation 2015/35 concerning the calculation of regulatory capital requirements for certain categories of assets (infrastructure corportate) held by (re)insurance undertakings | |
| 13.10.2017 | EMIR | European Commission | Delegated Regulation | Commission Implementing Decision (EU) 2017/1857 of 13 October 2017 on the recognition of the legal, supervisory and enforcement arrangements of the United States of America for derivatives transactions supervised by the Commodity Futures Trading Commission as equivalent to certain requirements of Article 11 of Regulation (EU) No 648/2012 of the European Parliament and Council on OTC derivatives, central counterparties and trade repositories | |
| 03.10.2017 | Benchmarks | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) 2018/67 of 3 October 2017 supplementing Regulation (EU) 2016/1011 of the European Parliament and of the Council with regard to the establishment of the conditions to assess the impact resulting from the cessation of or change to existing benchmarks | |
| 29.09.2017 | Benchmarks | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) 2018/65 of 29 September 2017 supplementing Regulation (EU) 2016/1011 of the European Parliament and of the Council specifying technical elements of the definitions laid down in paragraph 1 of Article 3 of the Regulation | |
| 29.09.2017 | Benchmarks | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) 2018/64 of 29 September 2017 supplementing Regulation (EU) 2016/1011 of the European Parliament and of the Council with regard to specifying how the criteria of Article 20(1)(c)(iii) are to be applied for assessing whether certain events would result in significant and adverse impacts on market integrity, financial stability, consumers, the real economy or the financing of households and businesses in one or more Member States | |
| 22.09.2017 | EMIR | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) 2017/2155 of 22 September 2017 amending Delegated Regulation (EU) No 149/2013 with regard to regulatory technical standards on indirect clearing arrangements | |
| 21.09.2017 | IDD | European Commission | Delegated Regulation | Delegated regulation supplementing Directive 2016/97 with regard to information requirements and conduct of business rules applicable to the distribution of insurance-based investment products | |
| 21.09.2017 | IDD | European Commission | Delegated Regulation | Delegated regulation supplementing Directive 2016/97 with regard to product oversight and governance requirements for insurance undertakings and insurance distributors | |
| 20.09.2017 | Solvency II | European Commission | Legislative Proposal | Proposal for a directive of the European parliament and Council amending Directive 2014/65/EU on markets in financial instruments and Directive 2009/138/EU on the taking-up and pursuit of the business of insurance and reinsurance (Solvency 2) | |
| 14.09.2017 | Solvency II | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) 2017/1542 amending Delegated Regulation (EU) 2015/35 concerning the calculation of regulatory capital requirements for certain categories of assets held by insurance and reinsurance undertakings (infrastructure corporates) | |
| 14.09.2017 | Solvency II | European Commission | Impact Assessment | Impact assessment of Commission delegated regulation (EU) 2017/1542 amending Delegated Regulation (EU) 2015/35 concerning the calculation of regulatory capital requirements for certain categories of assets held by insurance and reinsurance undertakings (infrastructure corporates) | |
| 12.08.2017 | IDD | European Commission | Implementing Regulation | Implementing regulation laying down a standardised presentation format for the insurance product information document | |
| 29.07.2017 | EMIR | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) 2017/1800 of 29 June 2017 amending Delegated Regulation (EU) No 151/2013 supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council | |
| 07.07.2017 | PRIIPS | European Commission | Communication | Guidelines on the application of Regulation (EU) No 1286/2014 of the European Parliament and of the Council on key information documents for packaged retail and insurance-based investment products (PRIIPs) | |
| 07.06.2017 | MiFID II | European Commission | Implementing Regulation | Commission Implementing Regulation (EU) 2017/980 of 7 June 2017 laying down implementing technical standards with regard to standard forms, templates and procedures for cooperation in supervisory activities, for on-site verifications, and investigations and exchange of information between competent authorities in accordance with Directive 2014/65/EU of the European Parliament and of the Council | |
| 11.05.2017 | PRIIPS | European Commission | Corrigenda | Corrigendum to Commission Delegated Regulation (EU) 2017/653 of 8 March 2017 supplementing Regulation (EU) No 1286/2014 of the European Parliament and of the Council on key information documents for packaged retail and insurance-based investment products (PRIIPs) by laying down regulatory technical standards with regard to the presentation, content, review and revision of key information documents and the conditions for fulfilling the requirement to provide such documents | |
| 04.05.2017 | EMIR | European Commission | Legislative Proposal | Proposal for a Regulation of the European Parliament and the Council amending Regulation (EU) No 648/2012 as regards the clearing obligation, the suspension of the clearing obligation, the reporting requirements, the risk-mitigation techniques for OTC derivatives contracts not cleared by a central counterparty, the registration and supervision of trade repositories and the requirements for trade repositories | |
| 04.05.2017 | SFTR | European Commission | Legislative Proposal | Proposal for a Regulation of the European Parliament and the Council amending Regulation (EU) No 648/2012 as regards the clearing obligation, the suspension of the clearing obligation, the reporting requirements, the risk-mitigation techniques for OTC derivatives contracts not cleared by a central counterparty, the registration and supervision of trade repositories and the requirements for trade repositories | |
| 12.04.2017 | PRIIPS | European Commission | Delegated Regulation | Commission delegated Regulation (EU) 2017/653 of 8 March 2017 supplementing Regulation (EU) No 1286/2014 of the European Parliament and of the Council on key information documents for packaged retail and insurance-based investment products (PRIIPs) by laying down regulatory technical standards with regard to the presentation, content, review and revision of key information documents and the conditions for fulfilling the requirement to provide such documents | |
| 31.03.2017 | MiFIR | European Commission | Delegated Regulation | Commission Delegated Regulation of 28 July 2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards for the reporting of transactions to competent authorities | |
| 31.03.2017 | MiFIR | European Commission | Delegated Regulation | Annex to the Commission Delegated Regulation of 28 July 2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards for the reporting of transactions to competent authorities | |
| 16.03.2017 | EMIR | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) 2017/751 of 16 March 2017 amending Delegated Regulations (EU) 2015/2205, (EU) 2016/592 and (EU) 2016/1178 as regards the deadline for compliance with clearing obligations for certain counterparties dealing with OTC derivatives | |
| 02.03.2017 | EMIR | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) 2017/979 of 2 March 2017 amending Regulation (EU) No 648/2012 of the European Parliament and of the Council on OTC derivatives, central counterparties and trade repositories with regard to the list of exempted entities | |
| 20.01.2017 | EMIR | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) 2017/323 of 20 January 2017 correcting Delegated Regulation (EU) 2016/2251 supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council on OTC derivatives, central counterparties and trade repositories with regard to regulatory technical standards for risk-mitigation techniques for OTC derivative contracts not cleared by a central counterparty | |
| 20.12.2016 | EMIR | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) 2017/610 of 20 December 2016 amending Regulation (EU) No 648/2012 of the European Parliament and of the Council as regards the extension of the transitional periods related to pension scheme arrangements | |
| 01.12.2016 | MiFID II | European Commission | Delegated Regulation | Commission Delegated Regulation of 1.12.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for the criteria to establish when an activity is considered to be ancillary to the main business | |
| 01.12.2016 | MiFID II | European Commission | Delegated Regulation | Commission Delegated Regulation of 1.12.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for the application of position limits to commodity derivatives | |
| 28.11.2016 | SFTR | European Commission | Impact Assessment | Impact Assessment accompanying the document Proposal for a Regulation of the European Parliament and of the Council on a framework for the recovery and resolution of central counterparties and amending Regulations (EU) No 1095/2010, (EU) No 648/2012, and (EU) 2015/2365 | |
| 28.11.2016 | SFTR | European Commission | Proposal | Proposal for a regulation of the European Parliament and of the Council on a framework for the recovery and resolution of central counterparties and amending Regulations (EU) No 1095/2010, (EU) No 648/2012, and (EU) 2015/2365 | |
| 10.11.2016 | Solvency II | European Commission | Implementing Regulation | Commission Implementing Regulation (EU) 2016/1976 of 10 November 2016 laying down technical information for the calculation of technical provisions and basic own funds for reporting with reference dates from 30 September until 30 December 2016 in accordance with Directive 2009/138/EC of the European Parliament and of the Council on the taking-up and pursuit of the business of Insurance and Reinsurance | |
| 29.10.2016 | PRIIPS | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) 2016/1904 of 14 July 2016 supplementing Regulation (EU) No 1286/2014 of the European Parliament and of the Council with regard to product intervention | |
| 20.10.2016 | Solvency II | European Commission | Implementing Regulation | Commission Implementing Regulation (EU) 2016/1868 of 20 October 2016 amending and correcting Implementing Regulation (EU) 2015/2450 laying down implementing technical standards with regard to the templates for the submission of information to the supervisory authorities according to Directive 2009/138/EC of the European Parliament and of the Council | |
| 19.10.2016 | EMIR | European Commission | Implementing Regulation | Commission Implementing Regulation (EU) 2017/105 of 19 October 2016 amending Implementing Regulation (EU) No 1247/2012 laying down implementing technical standards with regard to the format and frequency of trade reports to trade repositories according to Regulation (EU) No 648/2012 of the European Parliament and of the Council on OTC derivatives, central counterparties and trade repositories | |
| 19.10.2016 | EMIR | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) 2017/104 of 19 October 2016 amending Delegated Regulation (EU) No 148/2013 supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council on OTC derivatives, central counterparties and trade repositories with regard to regulatory technical standards on the minimum details of the data to be reported to trade repositories | |
| 11.10.2016 | CRA | European Commission | Implementing Regulation | Commission Implementing Regulation (EU) 2016/1800 of 11 October 2016 laying down implementing technical standards with regard to the allocation of credit assessments of external credit assessment institutions to an objective scale of credit quality steps in accordance with Directive 2009/138/EC of the European Parliament and of the Council | |
| 11.10.2016 | CRA | European Commission | Implementing Regulation | Commission Implementing Regulation (EU) 2016/1801 of 11 October 2016 on laying down implementing technical standards with regard to the mapping of credit assessments of external credit assessment institutions for securitisation in accordance with Regulation (EU) No 575/2013 of the European Parliament and of the Council | |
| 11.10.2016 | Solvency II | European Commission | Implementing Regulation | Commission Implementing Regulation (EU) 2016/1800 of 11 October 2016 laying down implementing technical standards with regard to the allocation of credit assessments of external credit assessment institutions to an objective scale of credit quality steps in accordance with Directive 2009/138/EC of the European Parliament and of the Council | |
| 11.10.2016 | Securitisation | European Commission | Implementing Regulation | Commission implementing Regulation EU_2016/1801 of 11 October 2016 on laying down implementing technical standards with regard to the mapping of credit assessments of external credit assessment institutions for securitisation | |
| 07.10.2016 | CRA | European Commission | Implementing Regulation | Commission Implementing Regulation (EU) 2016/1799 of 7 October 2016 laying down implementing technical standards with regard to the mapping of credit assessments of external credit assessment institutions for credit risk in accordance with Articles 136(1) and 136(3) of Regulation (EU) No 575/2013 of the European Parliament and of the Council | |
| 04.10.2016 | EMIR | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) 2016/2251 of 4 October 2016 supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council on OTC derivatives, central counterparties and trade repositories with regard to regulatory technical standards for risk-mitigation techniques for OTC derivative contracts not cleared by a central counterparty | |
| 09.09.2016 | Solvency II | European Commission | Implementing Regulation | Commission Implementing Regulation (EU) 2016/1630 of 9 September 2016 laying down implementing technical standards with regard to the procedures for the application of the transitional measure for the equity risk sub-module in accordance with Directive 2009/138/EC of the European Parliament and of the Council | |
| 11.08.2016 | Benchmarks | European Commission | Implementing Regulation | Commission Implementing Regulation (EU) 2016/1368 of 11 August 2016 establishing a list of critical benchmarks used in financial markets pursuant to Regulation (EU) 2016/1011 of the European Parliament and of the Council | |
| 08.08.2016 | Solvency II | European Commission | Implementing Regulation | Commission Implementing Regulation (EU) 2016/1376 of 8 August 2016 laying down technical information for the calculation of technical provisions and basic own funds for reporting with reference dates from 30 June until 29 September 2016 in accordance with Directive 2009/138/EC of the European Parliament and of the Council on the taking-up and pursuit of the business of Insurance and Reinsurance | |
| 19.07.2016 | MiFID II | European Commission | Delegated Regulation | Commission Delegated Regulation of 19.7.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards specifying the organisational requirements of investment firms engaged in algorithmic trading | |
| 19.07.2016 | MiFID II | European Commission | Delegated Regulation | Annexes 1 to 2 to the Commission Delegated Regulation of 19.7.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards specifying the organisational requirements of investment firms engaged in algorithmic trading | |
| 14.07.2016 | MiFID II | European Commission | Delegated Regulation | Commission Delegated Regulation of 14.7.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards specifying organisational requirements of trading venues | |
| 14.07.2016 | MiFID II | European Commission | Delegated Regulation | Annex to the Commission Delegated Regulation of 14.7.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards specifying organisational requirements of trading venues | |
| 14.07.2016 | MiFIR | European Commission | Delegated Regulation | Commission Delegated Regulation supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards on transparency requirements for trading venues and investment firms in respect of shares, depositary receipts, exchange-traded funds, certificates and other similar financial instruments and on transaction execution obligations in respect of certain shares on a trading venue or by a systematic internaliser | |
| 14.07.2016 | MiFIR | European Commission | Delegated Regulation | Annexes to the Commission Delegated Regulation supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards on transparency requirements for trading venues and investment firms in respect of shares, depositary receipts, exchange-traded funds, certificates and other similar financial instruments and on transaction execution obligations in respect of certain shares on a trading venue or by a systematic internaliser | |
| 14.07.2016 | MiFIR | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) 2017/583 of 14.7.2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards on transparency requirements for trading venues and investment firms in respect of bonds, structured finance products, emission allowances and derivatives | |
| 14.07.2016 | MiFIR | European Commission | Delegated Regulation | Annexes to the Commission Delegated Regulation of 14.7.2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards on transparency requirements for trading venues and investment firms in respect of bonds, structured finance products, emission allowances and derivatives | |
| 14.07.2016 | MiFIR | European Commission | Delegated Regulation | Commission Delegated Regulation of 14.7.2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards concerning the information for registration of third country firms and the format of information to be provided to the clients | |
| 14.07.2016 | MiFID II | European Commission | Delegated Regulation | Commission Delegated Regulation of 14.7.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards on information and requirements for the authorisation of investment firms | |
| 14.07.2016 | MiFID II | European Commission | Delegated Regulation | Commission Delegated Regulation of 14.7.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for the exchange of information between competent authorities when cooperating in supervisory activities, on-the-spot verifications and investigations | |
| 14.07.2016 | MiFIR | European Commission | Delegated Regulation | Commission Delegated Regulation of 14.7.2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards for the data standards and formats for financial instrument reference data and technical measures in relation to arrangements to be made by the European Securities and Markets Authority and competent authorities | |
| 14.07.2016 | MiFIR | European Commission | Delegated Regulation | Annex to the Commission Delegated Regulation of 14.7.2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards for the data standards and formats for financial instrument reference data and technical measures in relation to arrangements to be made by the European Securities and Markets Authority and competent authorities | |
| 14.07.2016 | MiFID II | European Commission | Delegated Regulation | Commission Delegated Regulation of 14.7.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards on the tick size regime for shares, depositary receipts and exchange traded funds | |
| 14.07.2016 | MiFID II | European Commission | Delegated Regulation | Annex to the Commission Delegated Regulation of 14.7.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards on the tick size regime for shares, depositary receipts and exchange traded funds | |
| 14.07.2016 | AML | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) 2016/1675 of 14 July 2016 supplementing Directive (EU) 2015/849 of the European Parliament and of the Council by identifying high-risk third countries with strategic deficiencies | |
| 29.06.2016 | MiFIR | European Commission | Regulation | Commission delegated Regulation of 29.6.2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards specifying the obligation to clear derivatives traded on regulated markets and timing of acceptance for clearing | |
| 29.06.2016 | MiFID II | European Commission | Delegated Regulation | Commission delegated Regulation of 29.6.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards specifying information to be notified by investment firms, market operators and credit institutions | |
| 29.06.2016 | MiFID II | European Commission | Delegated Regulation | Commission Delegated Regulation of 29.6.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards specifying information to be notified by investment firms, market operators and credit institutions | |
| 29.06.2016 | MiFIR | European Commission | Delegated Regulation | Commission Delegated Regulation of 29.6.2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards specifying the obligation to clear derivatives traded on regulated markets and timing of acceptance for clearing | |
| 29.06.2016 | MiFID II | European Commission | Delegated Regulation | Commission Delegated Regulation of 29.6.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards specifying information to be notified by investment firms, market operators and credit institutions | |
| 24.06.2016 | MiFIR | European Commission | Regulation | Annex to the Commission delegated Regulation of 24.6.2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards for the maintenance of relevant data relating to orders in financial instruments | |
| 24.06.2016 | MiFIR | European Commission | Regulation | Commission delegated Regulation of 24.6.2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards for the maintenance of relevant data relating to orders in financial instruments | |
| 24.06.2016 | MiFIR | European Commission | Regulation | Annex to the Commission delegated Regulation of 24.6.2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards on clearing access in respect of trading venues and central counterparties | |
| 24.06.2016 | MiFIR | European Commission | Regulation | Commission delegated Regulation of 24.6.2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards on clearing access in respect of trading venues and central counterparties | |
| 24.06.2016 | MiFIR | European Commission | Delegated Regulation | Commission Delegated Regulation of 24.6.2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards on clearing access in respect of trading venues and central counterparties | |
| 24.06.2016 | MiFIR | European Commission | Delegated Regulation | Annex to the Commission Delegated Regulation supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards on clearing access in respect of trading venues and central counterparties | |
| 24.06.2016 | MiFIR | European Commission | Delegated Regulation | Commission Delegated Regulation of 24.6.2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards for the maintenance of relevant data relating to orders in financial instruments | |
| 24.06.2016 | MiFIR | European Commission | Delegated Regulation | Annex to the Commission Delegated Regulation of 24.6.2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards for the maintenance of relevant data relating to orders in financial instruments | |
| 13.06.2016 | MiFIR | European Commission | Delegated Regulation | Commission Delegated Regulation of 13.06.2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards on the volume cap mechanism and the provision of information for the purposes of transparency and other calculations | |
| 13.06.2016 | MiFIR | European Commission | Delegated Regulation | Annex to the Commission Delegated Regulation of 13.06.2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council on markets in financial nstruments with regard to regulatory technical standards on the volume cap mechanism and the provision of information for the purposes of transparency and other calculations | |
| 13.06.2016 | MiFID II | European Commission | Delegated Regulation | Commission Delegated Regulation of 13.6.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards specifying the requirements on market making agreements and schemes | |
| 13.06.2016 | MiFIR | European Commission | Delegated Regulation | Commission Delegated Regulation of of 13.6.2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards on the direct, substantial and foreseeable effect of derivative contracts within the Union and the prevention of the evasion of rules and obligations | |
| 10.06.2016 | EMIR | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) 2016/1178 of 10 June 2016 supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council with regard to regulatory technical standards on the clearing obligation | |
| 08.06.2016 | MiFID II | European Commission | Delegated Regulation | Commission Delegated Regulation of 8.6.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards concerning the data to be published by execution venues on the quality of execution of transactions | |
| 08.06.2016 | MiFID II | European Commission | Delegated Regulation | Annex to the Commission Delegated Regulation of 8.6.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for the data to be provided by execution venues on the quality of execution transactions | |
| 08.06.2016 | MiFID II | European Commission | Delegated Regulation | Commission Delegated Regulation of 8.6.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for the annual publication by investment firms of information on the identity of execution venues and on the quality of execution | |
| 08.06.2016 | MiFID II | European Commission | Delegated Regulation | Annex to the Commission Delegated Regulation of 8.6.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for the annual publication by investment firms of information on the identity of execution venues and on the quality of execution | |
| 07.06.2016 | MiFID II | European Commission | Delegated Regulation | Commission Delegated Regulation of 7.6.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for the level of accuracy of business clocks | |
| 07.06.2016 | MiFID II | European Commission | Delegated Regulation | Annex to the Commission Delegated Regulation of 7.6.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for the level of accuracy of business clocks | |
| 06.06.2016 | MiFID II | European Commission | Delegated Regulation | Commission Delegated Regulation of 6.6.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards on requirements to ensure fair and non-discriminatory co-location services and fee structures | |
| 02.06.2016 | AIFMD | European Commission | Consultation Paper | CMU action on cross-border distribution of funds accross the EU | |
| 02.06.2016 | UCITS | European Commission | Consultation Paper | CMU action on cross-border distribution of funds accross the EU | |
| 02.06.2016 | MiFIR | European Commission | Delegated Regulation | Commission Delegated Regulation of 2.6.2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards on access in respect of benchmarks | |
| 02.06.2016 | MiFID II | European Commission | Delegated Regulation | Commission Delegated Regulation of 2.6.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards on the authorization, organisational requirements and the publication of transactions for data reporting services providers | |
| 02.06.2016 | MiFIR | European Commission | Delegated Regulation | Commission Delegated Regulation of 2.6.2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards on the specification of the offering of pre-and post-trade data and the level of disaggregation of data | |
| 27.05.2016 | Solvency II | European Commission | Implementing Regulation | Commission Implementing Regulation (EU) 2016/869 of 27 May 2016 laying down technical information for the calculation of technical provisions and basic own funds for reporting with reference dates from 31 March until 29 June 2016 in accordance with Directive 2009/138/EC of the European Parliament and of the Council on the taking-up and pursuit of the business of Insurance and Reinsurance | |
| 26.05.2016 | MiFIR | European Commission | Delegated Regulation | Commission Delegated Regulation of 26.5.2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards on criteria for determining whether derivatives subject to the clearing obligation should be subject to the trading obligation | |
| 26.05.2016 | MiFID II | European Commission | Delegated Regulation | Commission Delegated Regulation of 26.5.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards for the determination of a material market in terms of liquidity in relation to notifications of a temporary halt in trading | |
| 24.05.2016 | MiFID II | European Commission | Delegated Regulation | Commission Delegated Regulation of 24.5.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for the admission of financial instruments to trading on regulated markets | |
| 24.05.2016 | MiFID II | European Commission | Delegated Regulation | Commission Delegated Regulation of 24.5.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for the suspension and removal of financial instruments from trading | |
| 18.05.2016 | MiFID II | European Commission | Delegated Regulation | Commission Delegated Regulation of 18.5.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards for the ratio of unexecuted orders to transactions in order to prevent disorderly trading conditions | |
| 18.05.2016 | MiFID II | European Commission | Delegated Regulation | Annex to the Commission Delegated Regulation of of 18.5.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards on the ratio of unexecuted orders to transactions | |
| 25.04.2016 | MiFID II | European Commission | Delegated Regulation | Commission delegated Regulation supplementing Directive 2014/65/EU of the European Parliament and of the Council as regards organisational requirements and operating conditions for investment firms and defined terms for the purposes of that Directive | |
| 21.04.2016 | EMIR | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) 2016/822 of 21 April 2016 amending Delegated Regulation (EU) No 153/2013 as regards the time horizons for the liquidation period to be considered for the different classes of financial instruments | |
| 07.04.2016 | MiFID II | European Commission | Directive | Commission delegated Directive supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to safeguarding of financial instruments and funds belonging to clients, product governance obligations and the rules applicable to the provision or reception of fees, commissions or any monetary or non-monetary benefits | |
| 01.03.2016 | EMIR | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) 2016/592 of 1 March 2016 supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council with regard to regulatory technical standards on the clearing obligation | |
| 10.02.2016 | Market Abuse | European Commission | Legislative Proposal | Proposal for a regulation amending Regulation (EU) No 600/2014 on markets in financial instruments, Regulation (EU) No 596/2014 on market abuse and Regulation (EU) No 909/2014 on improving securities settlement in the European Union and on central securities depositories as regards certain dates | |
| 05.02.2016 | Solvency II | European Commission | Implementing Regulation | Commission Implementing Regulation (EU) 2016/165 of 5 February 2016 laying down technical information for the calculation of technical provisions and basic own funds for reporting with reference dates from 1 January until 30 March 2016 in accordance with Directive 2009/138/EC of the European Parliament and of the Council (Solvency II) | |
| 17.12.2015 | UCITS | European Commission | Delegated Regulation | Commission delegated Regulation (EU) 2016/438 of 17/12/2015 supplementing Directive 2009/65/EC of the European Parliament and of the Council with regard to obligations of depositaries ("UCITS V", "Level2") | |
| 02.12.2015 | Solvency II | European Commission | Implementing Regulation | Commission Implementing Regulation (EU) 2015/2452 of 2 December 2015 laying down implementing technical standards with regard to the procedures, formats and templates of the solvency and financial condition report in accordance with Directive 2009/138/EC of the European Parliament and of the Council | |
| 02.12.2015 | Solvency II | European Commission | Implementing Regulation | Commission Implementing Regulation (EU) 2015/2451 of 2 December 2015 laying down implementing technical standards with regard to the templates and structure of the disclosure of specific information by supervisory authorities in accordance with Directive 2009/138/EC of the European Parliament and of the Council | |
| 02.12.2015 | Solvency II | European Commission | Implementing Regulation | Commission Implementing Regulation (EU) 2015/2450 of 2 December 2015 laying down implementing technical standards with regard to the templates for the submission of information to the supervisory authorities according to Directive 2009/138/EC of the European Parliament and of the Council | |
| 30.11.2015 | Prospectus II | European Commission | Legislative Proposal | Proposal for a Regulation on the prospectus to be published when securities are offered to the public or admitted to trading | |
| 30.11.2015 | Prospectus | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) 2016/301 of 30.11.2015 supplementing Directive 2003/71/EC of the European Parliament and of the Council with regard to regulatory technical standards for approval and publication of the prospectus and dissemination of advertisements and amending Commission Regulation (EC) No 809/2004 | |
| 26.11.2015 | Solvency II | European Commission | Delegated Decision
| Commission Delegated Decision (EU) 2016/310 of 26 November 2015 on the equivalence of the solvency regime for insurance and reinsurance undertakings in force in Japan to the regime laid down in Directive 2009/138/EC of the European Parliament and of the Council | |
| 26.11.2015 | Solvency II | European Commission | Delegated Decision
| Commission Delegated Decision 2016/309 on the equivalence of the supervisory regime for (re)insurance undertakings in Bermuda to the regime laid down in directive 2009/198/EC and amending Delegated Decision 2015/2290 | |
| 13.11.2015 | EMIR | European Commission | Implementing Decision | Commission Implementing Decision (EU) No 2015/2042 of 13 November 2015 on the equivalence of the regulatory framework of Switzerland for central counterparties to the requirements of Regulation (EU) No 648/2012 of the European Parliament and of the Council on OTC derivatives, central counterparties and trade repositories | |
| 13.11.2015 | EMIR | European Commission | Implementing Decision | Commission Implementing Decision (EU) No 2015/2040 of 13 November 2015 on the equivalence of the regulatory framework of certain provinces of Canada for central counterparties to the requirements of Regulation (EU) No 648/2012 of the European Parliament and of the Council on OTC derivatives, central counterparties and trade repositories | |
| 13.11.2015 | EMIR | European Commission | Implementing Decision | Commission Implementing Decision (EU) No 2015/2038 of 13 November 2015 on the equivalence of the regulatory framework of the Republic of Korea for central counterparties to the requirements of Regulation (EU) No 648/2012 of the European Parliament and of the Council on OTC derivatives, central counterparties and trade repositories | |
| 13.11.2015 | EMIR | European Commission | Implementing Decision | Commission Implementing Decision (EU) No 2015/2039 of 13 November 2015 on the equivalence of the regulatory framework of South Africa for central counterparties to the requirements of Regulation (EU) No 648/2012 of the European Parliament and of the Council on OTC derivatives, central counterparties and trade repositories | |
| 13.11.2015 | EMIR | European Commission | Implementing Decision | Commission Implementing Decision (EU) No 2015/2041 of 13 November 2015 on the equivalence of the regulatory framework of Mexico for central counterparties to the requirements of Regulation (EU) No 648/2012 of the European Parliament and of the Council on OTC derivatives, central counterparties and trade repositories | |
| 11.11.2015 | Solvency II | European Commission | Implementing Regulation | Commission Implementing Regulation (EU) 2015/2014 of 11 November 2015 laying down implementing technical standards with regard to the procedures and templates for the submission of information to the group supervisor and for the exchange of information between supervisory authorities in accordance with Directive 2009/138/EC of the European Parliament and of the Council | |
| 11.11.2015 | Solvency II | European Commission | Implementing Regulation | Commission Implementing Regulation (EU) 2015/2013 of 11 November 2015 laying down implementing technical standards with regard to standard deviations in relation to health risk equalisation systems in accordance with Directive 2009/138/EC of the European Parliament and of the Council | |
| 11.11.2015 | Solvency II | European Commission | Implementing Regulation | Commission Implementing Regulation (EU) 2015/2012 of 11 November 2015 laying down implementing technical standards with regard to the procedures for decisions to set, calculate and remove capital add-ons in accordance with Directive 2009/138/EC of the European Parliament and of the Council | |
| 11.11.2015 | Solvency II | European Commission | Implementing Regulation | Commission Implementing Regulation (EU) 2015/2011 of 11 November 2015 laying down implementing technical standards with regard to the lists of regional governments and local authorities, exposures to whom are to be treated as exposures to the central government in accordance with Directive 2009/138/EC of the European Parliament and of the Council | |
| 11.11.2015 | Solvency II | European Commission | Implementing Regulation | Commission Implementing Regulation (EU) 2015/2017 of 11 November 2015 laying down implementing technical standards with regard to the adjusted factors to calculate the capital requirement for currency risk for currencies pegged to the euro in accordance with Directive 2009/138/EC of the European Parliament and of the Council | |
| 11.11.2015 | Solvency II | European Commission | Implementing Regulation | Commission Implementing Regulation (EU) 2015/2016 of 11 November 2015 laying down the implementing technical standards with regard to the equity index for the symmetric adjustment of the standard equity capital charge in accordance with Directive 2009/138/EC of the European Parliament and of the Council | |
| 11.11.2015 | Solvency II | European Commission | Implementing Regulation | Commission Implementing Regulation (EU) 2015/2015 of 11 November 2015 laying down implementing technical standards on the procedures for assessing external credit assessments in accordance with Directive 2009/138/EC of the European Parliament and of the Council | |
| 08.10.2015 | Securitisation | European Commission | Legislative Proposal | Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL laying down common rules on securitisation and creating a European framework for simple, transparent and standardised securitisation and amending Directives 2009/65/EC, 2009/138/EC, 2011/61/EU and Regulations (EC) No 1060/2009 and (EU) No 648/2012 | |
| 30.09.2015 | Solvency II | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) 2016/467 of 30 September 2015 amending Commission Delegated Regulation (EU) 2015/35 concerning the calculation of regulatory capital requirements for several categories of assets held by insurance and reinsurance undertakings (Text with EEA relevance) | |
| 06.08.2015 | EMIR | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) 2015/2205 of 6 August 2015 supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council with regard to regulatory technical standards on the clearing obligation | |
| 12.06.2015 | Solvency II | European Commission | Delegated Decision
| Commission Delegated Decision (EU) 2015/2290 of 12 June 2015 on the provisional equivalence of the solvency regimes in force in Australia, Bermuda, Brazil, Canada, Mexico and the United States and applicable to insurance and reinsurance undertakings with head offices in those countries | |
| 05.06.2015 | Solvency II | European Commission | Delegated Decision
| Commission Delegated Decision (EU) 2015/1602 of 5 June 2015 on the equivalence of the solvency and prudential regime for insurance and reinsurance undertakings in force in Switzerland based on Articles 172(2), 227(4) and 260(3) of Directive 2009/138/EC of the European Parliament and of the Council | |
| 05.06.2015 | EMIR | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) 2015/1515 of 5 June 2015 amending Regulation (EU) No 648/2012 of the European Parliament and of the Council as regards the extension of the transitional periods related to pension scheme arrangements | |
| 26.05.2015 | EMIR | European Commission | Consultation | Public consultation on Regulation (EU) No 648/2012 on OTC derivatives, central counterparties and trade repositories | |
| 13.05.2015 | Transparency Directive | European Commission | Delegated Regulation | Commission Delegated Reglation EU 2015/761 of 17 December 2014 supplementing Directive 2004/109/EC of the European Parliament and of the Council with regard to certain regulatory technical standards on major holdings | |
| 24.03.2015 | Solvency II | European Commission | Implementing Regulation | Commission Implementing Regulation (EU) 2015/498 of 24 March 2015 laying down implementing technical standards with regard to the supervisory approval procedure to use undertaking-specific parameters in accordance with Directive 2009/138/EC of the European Parliament and of the Council | |
| 24.03.2015 | Solvency II | European Commission | Implementing Regulation | Commission Implementing Regulation (EU) 2015/500 of 24 March 2015 laying down implementing technical standards with regard to the procedures to be followed for the supervisory approval of the application of a matching adjustment in accordance with Directive 2009/138/EC of the European Parliament and of the Council | |
| 24.03.2015 | Solvency II | European Commission | Implementing Regulation | Commission Implementing Regulation (EU) 2015/499 of 24 March 2015 laying down implementing technical standards with regard to the procedures to be used for granting supervisory approval for the use of ancillary own-fund items in accordance with Directive 2009/138/EC of the European Parliament and of the Council | |
| 19.03.2015 | Solvency II | European Commission | Implementing Regulation | Commission Implementing Regulation (EU) 2015/462 of 19 March 2015 laying down implementing technical standards with regard to the procedures for supervisory approval to establish special purpose vehicles, for the cooperation and exchange of information between supervisory authorities regarding special purpose vehicles as well as to set out formats and templates for information to be reported by special purpose vehicles in accordance with Directive 2009/138/EC of the European Parliament and of the Council | |
| 19.03.2015 | Solvency II | European Commission | Implementing Regulation | Commission Implementing Regulation (EU) 2015/461 of 19 March 2015 laying down implementing technical standards with regard to the process to reach a joint decision on the application to use a group internal model in accordance with Directive 2009/138/EC of the European Parliament and of the Council | |
| 19.03.2015 | Solvency II | European Commission | Implementing Regulation | Commission Implementing Regulation (EU) 2015/460 of 19 March 2015 laying down implementing technical standards with regard to the procedure concerning the approval of an internal model in accordance with Directive 2009/138/EC of the European Parliament and of the Council | |
| 18.02.2015 | Securitisation | European Commission | Consultation Paper | Consultation Paper on an EU framework for simple, transparent and standardised securitisation | |
| 10.10.2014 | Solvency II | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) 2015/35 of 10 October 2014 supplementing Directive 2009/138/EC of the European Parliament and of the Council on the taking-up and pursuit of the business of Insurance and Reinsurance (Solvency II) (Text with EEA relevance) | |
| 12.09.2014 | Securitisation | European Commission | Implementing Decision | Commission Implementing Decision of 11/09/2014 for on the model of funding agreement concerning joint uncapped guarantee and securitisation financial instruments | |
| 11.07.2014 | EMIR | European Commission | Other | European Commission response to ESMA letter regarding the frontloading requirement under EMIR | |
| 04.06.2014 | EMIR | European Commission | Implementing Regulation | Commission Implementing Regulation (EU) No 591/2014 of 3 June 2014 on the extension of the transitional periods related to own funds requirements for exposures to central counterparties in Regulation (EU) No 575/2013 and Regulation (EU) No 648/2012 of the European Parliament and of the Council | |
| 12.05.2014 | EMIR | European Commission | Implementing Regulation | Commission implementing Regulation (EU) No 484/2014 of 12 May 2014 laying down implementing technical standards with regard to the hypothetical capital of a central counterparty according to Regulation (EU) No 648/2012 of the European Parliament and of the Council | |
| 09.04.2014 | EU Corporate Governance Framework | European Commission | Impact Assessment - Summary | Proposal for a Directive of the European Parliament and the Council amending Directive 2007/36/EC as regards the encouragement of long-term shareholder | |
| 09.04.2014 | EU Corporate Governance Framework | European Commission | Impact Assessment | Proposal for a Directive of the European Parliament and the Council amending Directive 2007/36/EC as regards the encouragement of long-term shareholder | |
| 09.04.2014 | EU Corporate Governance Framework | European Commission | Legislative Proposal | Proposal for a Directive of the European Parliament and the Council amending Directive 2007/36/EC as regards the encouragement of long-term shareholder | |
| 27.03.2014 | IORP | European Commission | Legislative Proposal | Proposal for a Directive on the activities and supervision of institutions for occupational retirement provision (recast) | |
| 27.03.2014 | IORP | European Commission | Impact Assessment | EC executive summary of impact assessment accompanying the proposal for a directive amending directive 2003/41/EC | |
| 13.03.2014 | EMIR | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) No 667/2014 of 13 March 2014 supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council with regard to rules of procedure for penalties imposed on trade repositories by the European Securities and Markets Authority including rules on the right of defence and temporal provisions | |
| 07.03.2014 | Prospectus | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) No 382/2014 of 7 March 2014 supplementing Directive 2003/71/EC of the European Parliament and of the Council with regard to regulatory technical standards for publication of supplements to the prospectus (Text with EEA relevance) | |
| 13.02.2014 | EMIR | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) No 285/2014 of 13 February 2014 supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council with regard to regulatory technical standards on direct, substantial and foreseeable effect of contracts within the Union and to prevent the evasion of rules and obligations | |
| 17.12.2013 | AIFMD | European Commission | Delegated Regulation | Commission Delegated Regulation supplementing Directive 2011/61/EU of the European Parliament and of the Council with regard to regulatory technical standards determining types of alternative investment fund managers | |
| 18.09.2013 | Benchmarks | European Commission | Impact Assessment - Summary | Proposal for a regulation of the European Parliament and of the council on indices used as benchmarks in financial instruments and financial contracts - Impact Assessement - Summary | |
| 18.09.2013 | Benchmarks | European Commission | Impact Assessment - Full | Proposal for a regulation of the European Parliament and of the council on indices used as benchmarks in financial instruments and financial contracts - Impact Assessement - Full Text | |
| 18.09.2013 | Benchmarks | European Commission | Legislative Proposal | Proposal for a regulation of the European Parliament and of the council on indices used as benchmarks in financial instruments and financial contracts | |
| 04.09.2013 | MMF | European Commission | Legislative Proposal | Proposal for a Regulation on Money Market Funds | |
| 04.09.2013 | MMF | European Commission | Questions and Answers | New rules for Money Market Funds proposed | |
| 26.06.2013 | ELTIF | European Commission | Impact Assessment | Proposal for a Regulation on European Long-term Investment Funds - Impact Assessment - Full Text | |
| 26.06.2013 | ELTIF | European Commission | Impact Assessment | Proposal for a regulation on European Long-term Investment Funds - Impact Assessment - Summary | |
| 26.06.2013 | ELTIF | European Commission | Legislative Proposal | Proposal for a regulation on European Long-term Investment Funds | |
| 12.06.2013 | EMIR | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) No 1003/2013 of 12 July 2013 supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council with regard to fees charged by the European Securities and Markets Authority to trade repositories | |
| 15.05.2013 | AIFMD | European Commission | Implementing Regulation | Commission Implementing Regulation (EU) No 447/2013 establishing the procedure for AIFMs which choose to opt in under Directive 2011/61/EU | |
| 15.05.2013 | AIFMD | European Commission | Implementing Regulation | Commission Implementing Regulation (EU) No 448/2013 establishing a procedure for determining the Member State of reference of a non-EU AIFM pursuant to Directive 2011/61/EU | |
| 30.04.2013 | Prospectus | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) No 759/2013 of 30 April 2013 amending Regulation (EC) No 809/2004 as regards the disclosure requirements for convertible and exchangeable debt securities (Text with EEA relevance) | |
| 14.02.2013 | FTT | European Commission | Impact Assessment | Proposal for a council directive implementing enhanced cooperation in the area of financial transaction tax - Impact Assessment - Full Text | |
| 14.02.2013 | FTT | European Commission | Impact Assessment | Proposal for a council directive implementing enhanced cooperation in the area of financial transaction tax - Impact Assessment - Summary | |
| 14.02.2013 | FTT | European Commission | Legislative Proposal | Proposal for a council directive implementing enhanced cooperation in the area of financial transaction tax | |
| 05.02.2013 | AML | European Commission | Impact Assessment | Proposal for a regulation on information accompanying transfers of funds - Impact Assessment - Full Text | |
| 05.02.2013 | AML | European Commission | Impact Assessment | Proposal for a regulation on information accompanying transfers of funds - Impact Assessment - Summary | |
| 19.12.2012 | EMIR | European Commission | Implementing Regulation | Commission Implementing Regulation (EU) No 1248/2012 of 19 December 2012 laying down implementing technical standards with regard to the format of applications for registration of trade repositories according to Regulation (EU) No 648/2012 of the European Parliament and of the Council on OTC derivatives, central counterparties and trade repositories | |
| 19.12.2012 | EMIR | European Commission | Implementing Regulation | Commission Implementing Regulation (EU) No 1249/2012 of 19 December 2012 laying down implementing technical standards with regard to the format of the records to be maintained by central counterparties according to Regulation (EU) No 648/2012 of the European Parliament and of the Council on OTC derivatives, central counterparties and trade repositories | |
| 19.12.2012 | AIFMD | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) No 231/2013 on exemptions, general operating conditions, depositaries, leverage, transparency and supervision | |
| 19.12.2012 | EMIR | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) No 148/2013 supplementing Regulation (EU) No 648/2012 on OTC derivatives, central counterparties and trade repositories with regard to regulatory technical standards on the minimum details of the data to be reported to trade repositories | |
| 19.12.2012 | EMIR | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) No 149/2013 supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council with regard to regulatory technical standards on indirect clearing arrangements, the clearing obligation, the public register, access to a trading venue, non-financial counterparties, and risk mitigation techniques for OTC derivatives contracts not cleared by a CCP | |
| 19.12.2012 | EMIR | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) No 150/2013 supplementing Regulation (EU) No 648/2012 on OTC derivatives, central counterparties and trade repositories with regard to regulatory technical standards specifying the details of the application for registration as a trade repository | |
| 19.12.2012 | EMIR | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) No 151/2013 supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council on OTC derivatives, central counterparties and trade repositories, with regard to regulatory technical standards specifying the data to be published and made available by trade repositories and operational standards for aggregating, comparing and accessing the data | |
| 19.12.2012 | EMIR | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) No 152/2013 supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council with regard to regulatory technical standards on capital requirements for central counterparties | |
| 19.12.2012 | EMIR | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) No 153/2013 supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council with regard to regulatory technical standards on requirements for central counterparties | |
| 19.12.2012 | EMIR | European Commission | Implementing Regulation | Commission Implementing Regulation (EU) No 1247/2012 of 19 December 2012 laying down implementing technical standards with regard to the format and frequency of trade reports to trade repositories according to Regulation (EU) No 648/2012 of the European Parliament and of the Council on OTC derivatives, central counterparties and trade repositories | |
| 19.12.2012 | EMIR | European Commission | Implementing Regulation | Commission Implementing Regulation (EU) No 1248/2012 laying down implementing technical standards with regard to the format of applications for registration of trade repositories according to Regulation (EU) No 648/2012 of the European Parliament and of the Council on OTC derivatives, central counterparties and trade repositories | |
| 19.12.2012 | EMIR | European Commission | Implementing Regulation | Commission Implementing Regulation (EU) No 1249/2012 laying down implementing technical standards with regard to the format of the records to be maintained by central counterparties according to Regulation (EU) No 648/2012 of the European Parliament and of the Council on OTC derivatives, central counterparties and trade repositories | |
| 25.07.2012 | Market Abuse | European Commission | Legislative Proposal | Proposal for a regulation on insider dealing and market manipulation (market abuse) | |
| 12.07.2012 | CRA | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) No 946/2012 supplementing Regulation (EC) No 1060/2009 with regard to rules of procedure on fines imposed to credit rating agencies by the European Securities and Markets Authority, including rules on the right of defence and temporal provisions | |
| 03.07.2012 | UCITS | European Commission | Legislative Proposal | Proposal for a Directive amending Directive 2009/65/EC relating to UCITS as regards depositary functions, remuneration policies and sanctions ("UCITS V") | |
| 03.07.2012 | IDD | European Commission | Legislative Proposal | Proposal for a directive of the European Parliament and of the Council on insurance mediation (recast) | |
| 03.07.2012 | IDD | European Commission | Impact Assessment | Impact assessment accompanying the document Directive of the European Parliament and of the Council on Insurance Mediation | |
| 04.06.2012 | Prospectus | European Commission | Delegated Regulation | Commission Regulation (EU) No 862/2012 of 4 June 2012 amending Regulation (EC) No 809/2004 as regards information on the consent to use of the prospectus, information on underlying indexes and the requirement for a report prepared by independent accountants or auditors (Text with EEA relevance) | |
| 13.04.2012 | Transparency Directive | European Commission | Implementing Decision | Commission Implementing Decision of 11 April 2012 amending Decision 2008/961/EC on the use by third countries’ issuers of securities of certain third country’s national accounting standards and International Financial Reporting Standards to prepare their consolidated financial statements | |
| 30.03.2012 | Prospectus | European Commission | Delegated Regulation | Commission Regulation (EU) No 486/2012 of 30 March 2012 amending Regulation (EC) No 809/2004 as regards the format and the content of the prospectus, the base prospectus, the summary and the final terms and as regards the disclosure requirements (Text with EEA relevance) | |
| 21.03.2012 | CRA | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) No 446/2012 supplementing Regulation (EC) No 1060/2009 with regard to regulatory technical standards on the content and format of ratings data periodic reporting to be submitted to ESMA by credit rating agencies | |
| 21.03.2012 | CRA | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) No 447/2012 supplementing Regulation (EC) No 1060/2009 with regard to regulatory technical standards for the assessment of cmpliance of credit rating methodologies | |
| 21.03.2012 | CRA | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) No 448/2012 supplementing Regulation (EC) No 1060/2009 with regard to regulatory technical standards for the presentation of the information that credit rating agencies shall make available in a central repository established by ESMA | |
| 21.03.2012 | CRA | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) No 449/2012 supplementing Regulation (EC) No 1060/2009 with regard to regulatory technical standards on information for registration and certification of credit rating agencies | |
| 07.03.2012 | CSDs | European Commission | Impact Assessment | Proposal for a regulation on improving securities settlement in the European Union and on central securities depositories (CSDs) and amending Directive 98/26/EC - Impact assessment - Full Text | |
| 07.03.2012 | CSDs | European Commission | Impact Assessment | Proposal for a regulation on improving securities settlement in the European Union and on central securities depositories (CSDs) and amending Directive 98/26/EC - Impact assessment - Summary | |
| 07.03.2012 | CSDs | European Commission | Legislative Proposal | Proposal for a regulation on improving securities settlement in the European Union and on central securities depositories (CSDs) and amending Directive 98/26/EC | |
| 07.02.2012 | CRA | European Commission | Delegated Regulation | Commission Delegated Regulation (EU) No 272/2012 supplementing Regulation (EC) No 1060/2009 with regard to fees charged by ESMA to credit rating agencies | |
| 07.12.2011 | EuSEF | European Commission | Impact Assessment | Proposal for a regulation on European Social Entrepreneurship Funds - Impact assessment - Full Text | |
| 07.12.2011 | EuSEF | European Commission | Impact Assessment | Proposal for a regulation on European Social Entrepreneurship Funds - Impact assessment - Summary | |
| 07.12.2011 | EuVECA | European Commission | Impact Assessment | Proposal for a regulation on European Venture Capital Funds - Impact Assessment - Full Text | |
| 07.12.2011 | EuVECA | European Commission | Impact Assessment | Proposal for a regulation on European Venture Capital Funds - Impact Assessment - Summary | |
| 15.11.2011 | EU Corporate Governance Framework | European Commission | Feedback statement | Summary of responses to the Commission Green Paper on the EU corporate governance framework | |
| 25.10.2011 | Transparency Directive | European Commission | Legislative Proposal | Proposal for a Directive amending Directive 2004/109/EC on the harmonisation of transparency requirements in relation to information about issuers whose securities are admitted to trading on a regulated market and Commission Directive 2007/14/EC | |
| 20.10.2011 | MiFID II | European Commission | Impact Assessment | Proposal for a directive on markets in financial instruments repealing Directive 2004/39/EC - Impact Assessment - Full Text | |
| 20.10.2011 | MiFID II | European Commission | Impact Assessment | Proposal for a directive on markets in financial instruments repealing Directive 2004/39/EC - Impact Assessment - Summary | |
| 20.10.2011 | EMIR | European Commission | Legislative Proposal | Proposal for a regulation on markets in financial instruments and amending Regulation [EMIR] on OTC derivatives, central counterparties and trade repositories | |
| 20.10.2011 | Market Abuse | European Commission | Legislative Proposal | Proposal for a directive on criminal sanctions for insider dealing and market manipulation | |
| 20.10.2011 | AML | European Commission | Legislative Proposal | Proposal for a regulation on information accompanying transfers of funds | |
| 05.04.2011 | EU Corporate Governance Framework | European Commission | Green Paper | Green Paper on the EU corporate governance framework | |
| 19.01.2011 | Solvency II | European Commission | Legislative Proposal | Proposal for a directive amending Directives 2003/71/EC and 2009/138/EC in respect of the powers of the EIOPA and the ESMA | |
| 01.07.2010 | UCITS | European Commission | Directive | Commission Directive 2010/42/EU implementing Directive 2009/65/EC ("UCITS IV") as regards certain provisions concerning fund mergers, master-feeder structures and notification procedure | |
| 01.07.2010 | UCITS | European Commission | Directive | Commission Directive 2010/43/EU implementing Directive 2009/65/EC ("UCITS IV") as regards organisational requirements, conflicts of interest, conduct of business, risk management and content of the agreement between a depositary and a management company | |
| 01.07.2010 | UCITS | European Commission | Regulation | Commission Regulation (EU) No 583/2010 implementing Directive 2009/65/EC ("UCITS IV") as regards key investor information and conditions to be met when providing key investor information or the prospectus in a durable medium other than paper or by means of a website | |
| 01.07.2010 | UCITS | European Commission | Regulation | Commission Regulation (EU) No 584/2010 implementing Directive 2009/65/EC ("UCITS IV") as regards the form and content of the standard notification letter and UCITS attestation, the use of electronic communication between competent authorities for the purpose of notification, and procedures for on-the-spot verifications and investigations and the exchange of information between competent authorities | |
| 29.04.2009 | Prospectus | European Commission | Regulation | Commission Regulation (EC) No 809/2004 of 29 April 2004 implementing Directive 2003/71/EC of the European Parliament and of the Council as regards information contained in prospectuses as well as the format, incorporation by reference and publication of such prospectuses and dissemination of advertisements (Text with EEA relevance) | |
| 19.12.2008 | Transparency Directive | European Commission | Delegated Decision
| Commission Decision of 12 December 2008 on the use by third countries’ issuers of securities of certain third country’s national accounting standards and International Financial Reporting Standards to prepare their consolidated financial statements | |
| 22.12.2007 | Transparency Directive | European Commission | Regulation | Commission Regulation (EC) No 1569/2007 of 21 December 2007 establishing a mechanism for the determination of equivalence of accounting standards applied by third country issuers of securities pursuant to Directives 2003/71/EC and 2004/109/EC of the European Parliament and of the Council | |
| 21.12.2007 | Prospectus | European Commission | Regulation | Commission Regulation (EC) No 1569/2007 of 21 December 2007 establishing a mechanism for the determination of equivalence of accounting standards applied by third country issuers of securities pursuant to Directives 2003/71/EC and 2004/109/EC of the European Parliament and of the Council | |
| 27.02.2007 | Prospectus | European Commission | Regulation | Commission Regulation (EC) No 211/2007 of 27 February 2007 amending Regulation (EC) No 809/2004 implementing Directive 2003/71/EC of the European Parliament and of the Council as regards financial information in prospectuses where the issuer has a complex financial history or has made a significant financial commitment | |
| 10.08.2006 | MiFID I | European Commission | Directive | Commission Directive 2006/73/EC implementing Directive 2004/39/EC as regards organisational requirements and operating conditions for investment firms and defined terms for the purposes of that Directive | |
| 10.08.2006 | MiFID I | European Commission | Regulation | Commission Regulation (EC) No 1287/2006 implementing Directive 2004/39/EC as regards recordkeeping obligations for investment firms, transaction reporting, market transparency, admission of financial instruments to trading, and defined terms for the purposes of that Directive | |
| 29.04.2004 | Market Abuse | European Commission | Directive | Directive 2004/72/EC implementing Directive 2003/6/EC as regards accepted market practices, the definition of inside information in relation to derivatives on commodities, the drawing up of lists of insiders, the notification of manager's transactions and the notification of suspicious transactions | |
| 22.12.2003 | Market Abuse | European Commission | Directive | Directive 2003/124/EC implementing Directive 2003/6/EC as regards the definition and public disclosure of inside information and the definition of market manipulation | |
| 22.12.2003 | Market Abuse | European Commission | Directive | Directive 2003/125/EC implementing Directive 2003/6/EC as regards the fair presentation of investment recommendations and the disclosure of conflicts of interest | |
| 22.12.2003 | Market Abuse | European Commission | Regulation | Regulation (EC) No 2273/2003 implementing Directive 2003/6/EC as regards exemptions for buy-back programmes and stabilisation of financial instruments | |
| 28.02.2018 | Solvency II | European Insurance and Occupational Pensions Authority | Advice | EIOPA’s second set of advice to the European Commission on specific items in the Solvency II Delegated Regulation | |
| 12.02.2018 | Solvency II | European Insurance and Occupational Pensions Authority | Questions and Answers | Answers to questions on Commission Delegated Regulation (EU) 2015/35 supplementing Directive 2009/138 | |
| 19.12.2017 | IDD | European Insurance and Occupational Pensions Authority | Questions and Answers | Q&A on the comprehension alert in the Key Information Document for Insurance-Based Investment Products | |
| 11.12.2017 | IDD | European Insurance and Occupational Pensions Authority | Opinion | EIOPA opinion on monetary incentives and remuneration between providers of asset management services and insurance undertakings | |
| 30.11.2017 | Solvency II | European Insurance and Occupational Pensions Authority | Opinion | EIOPA Opinion on the supervisory assessment of internal models including a dynamic volatility adjustment | |
| 30.10.2017 | Solvency II | European Insurance and Occupational Pensions Authority | Advice | EIOPA’s first set of advice to the European Commission on specific items in the Solvency II Delegated Regulation | |
| 11.10.2017 | IDD | European Insurance and Occupational Pensions Authority | Guidelines | Guidelines on Insurance-based investment products that incorporate a structure which makes it difficult for the customer to understand the risks involved | |
| 05.07.2017 | Solvency II | European Insurance and Occupational Pensions Authority | Opinion | EIOPA opinion on the harmonisation of recovery and resolution frameworks for (re)insurers across the Member States | |
| 21.12.2016 | Solvency II | European Insurance and Occupational Pensions Authority | Opinion | EIOPA opinion on disclosure of information related to the use of transitional measures in the calculation of technical provisions | |
| 26.01.2016 | Solvency II | European Insurance and Occupational Pensions Authority | Opinion | EIOPA opinion on the application of a combination of methods to the group solvency calculation | |
| 23.10.2015 | Solvency II | European Insurance and Occupational Pensions Authority | Guidelines | Guidelines on the supervision of branches of third-country insurance undertakings | |
| 14.09.2015 | Solvency II | European Insurance and Occupational Pensions Authority | Guidelines | Guidelines on Financial Stability Reporting | |
| 14.09.2015 | Solvency II | European Insurance and Occupational Pensions Authority | Guidelines | Guidelines on the Extension of the Recovery Period | |
| 14.09.2015 | Solvency II | European Insurance and Occupational Pensions Authority | Guidelines | Guidelines on the exchange of information within colleges | |
| 14.09.2015 | Solvency II | European Insurance and Occupational Pensions Authority | Guidelines | Guidelines on the implementation of the long-term guarantee measures | |
| 14.09.2015 | Solvency II | European Insurance and Occupational Pensions Authority | Guidelines | Guidelines on the methods for determining the market shares for reporting | |
| 14.09.2015 | Solvency II | European Insurance and Occupational Pensions Authority | Guidelines | Guidelines on reporting and public disclosure | |
| 14.09.2015 | Solvency II | European Insurance and Occupational Pensions Authority | Guidelines | Guidelines on recognition and valuation of assets and liabilities other than technical provisions | |
| 14.09.2015 | Solvency II | European Insurance and Occupational Pensions Authority | Guidelines | Guidelines on System of Governance | |
| 14.09.2015 | Solvency II | European Insurance and Occupational Pensions Authority | Guidelines | Guidelines on Own Risk Solvency Assessment (ORSA) | |
| 09.09.2015 | Solvency II | European Insurance and Occupational Pensions Authority | Opinion | EIOPA Opinion on the group solvency calculation in the context of equivalence | |
| 09.09.2015 | Solvency II | European Insurance and Occupational Pensions Authority | Opinion | EIOPA Opinion on the group solvency calculation in the context of equivalence | |
| 14.04.2015 | Solvency II | European Insurance and Occupational Pensions Authority | Opinion | EIOPA Opinion on the preparation for Internal Model applications | |
| 02.02.2015 | Solvency II | European Insurance and Occupational Pensions Authority | Guidelines | Guidelines on ancillary own funds | |
| 02.02.2015 | Solvency II | European Insurance and Occupational Pensions Authority | Guidelines | Guidelines on the Application of Outwards Reinsurance | |
| 02.02.2015 | Solvency II | European Insurance and Occupational Pensions Authority | Guidelines | Guidelines on application of the life underwriting risk module | |
| 02.02.2015 | Solvency II | European Insurance and Occupational Pensions Authority | Guidelines | Guidelines on basis risk | |
| 02.02.2015 | Solvency II | European Insurance and Occupational Pensions Authority | Guidelines | Guidelines on Classification of Own Funds | |
| 02.02.2015 | Solvency II | European Insurance and Occupational Pensions Authority | Guidelines | Guidelines on contract boundaries | |
| 02.02.2015 | Solvency II | European Insurance and Occupational Pensions Authority | Guidelines | Guidelines on group solvency | |
| 02.02.2015 | Solvency II | European Insurance and Occupational Pensions Authority | Guidelines | Guidelines on health catastrophe risk sub-module | |
| 02.02.2015 | Solvency II | European Insurance and Occupational Pensions Authority | Guidelines | Guidelines on look-through approach | |
| 02.02.2015 | Solvency II | European Insurance and Occupational Pensions Authority | Guidelines | Guidelines on operational functioning of colleges | |
| 02.02.2015 | Solvency II | European Insurance and Occupational Pensions Authority | Guidelines | Guidelines on ring-fenced funds | |
| 02.02.2015 | Solvency II | European Insurance and Occupational Pensions Authority | Guidelines | Guidelines on supervisory review process | |
| 02.02.2015 | Solvency II | European Insurance and Occupational Pensions Authority | Guidelines | Guidelines on the loss-absorbing capacity of technical provisions and deferred taxes | |
| 02.02.2015 | Solvency II | European Insurance and Occupational Pensions Authority | Guidelines | Guidelines on the methodology for equivalence assessments by national supervisory authorities under Solvency II | |
| 02.02.2015 | Solvency II | European Insurance and Occupational Pensions Authority | Guidelines | Guidelines on the treatment of market and counterparty risk exposures in the standard formula | |
| 02.02.2015 | Solvency II | European Insurance and Occupational Pensions Authority | Guidelines | Guidelines on the use of internal models | |
| 02.02.2015 | Solvency II | European Insurance and Occupational Pensions Authority | Guidelines | Guidelines on treatment of related undertakings, including participations | |
| 02.02.2015 | Solvency II | European Insurance and Occupational Pensions Authority | Guidelines | Guidelines on undertaking-specific parameters | |
| 02.02.2015 | Solvency II | European Insurance and Occupational Pensions Authority | Guidelines | Guidelines on valuation of technical provisions | |
| 07.01.2015 | IORP | European Insurance and Occupational Pensions Authority | Final Report | Final report on costs and charges of IORPs | |
| 27.03.2014 | Solvency II | European Insurance and Occupational Pensions Authority | Opinion | EIOPA Opinion on the use of a Common Application Package for Internal Models | |
| 15.02.2012 | IORP | European Insurance and Occupational Pensions Authority | Advice | Advice to the European Commission on the review of the IORP Directive 2003/41/EC | |
| 03.07.2013 | FTT | European Parliament | Report | Report on the proposal for a Council directive implementing enhanced cooperation in the area of financial transaction tax | |
| 26.10.2012 | MiFID II | European Parliament | Report | Amendmends adopted by the European Parliament on 26 October 2012 on the proposal for a directive on markets in financial instruments repealing Directive 2004/39/EC | |
| 26.10.2012 | MiFIR | European Parliament | Report | Amendments adopted by the European Parliament on 26 October 2012 on the proposal for a regulation on markets in financial instruments and amending Regulation (EMIR) on OTC derivatives, central counterparties and trade repositories | |
| 28.12.2017 | Securitisation | European Parliament and Council | Regulation | Regulation EU 2017/2402 of the European Parliament and of the Councilof 12 December 2017 laying down a general framework for securitisation and creating a specific framework for simple, transparent and standardised securitisation | |
| 14.06.2017 | Prospectus II | European Parliament and Council | Regulation | Regulation (EU) 2017/1129 of the European Parliament and the Council of 14 June 2017 on the prospectus to be published when securities are offered to the public or admitted to trading on a regulated market, and repealing Directive 2003/71/EC | |
| 14.06.2017 | MMF | European Parliament and Council | Regulation | Regulation (EU) 2017/1131 of the European Parliament and the Council of 14 June 2017 on money market funds | |
| 14.12.2016 | PRIIPS | European Parliament and Council | Regulation | Regulation (EU) 2016/2340 of the European Parliament and of the Council of 14 December 2016 amending Regulation (EU) No 1286/2014 on key information documents for packaged retail and insurance-based investment products as regards the date of its application | |
| 14.12.2016 | IORP | European Parliament and Council | Directive | Directive (EU) 2016/2341 of the European Parliament and Council of 14 December 2016 on the activities and supervision of institutions for occupational retirement provision (IORPs) (recast) | |
| 14.07.2016 | EuVECA | European Parliament and Council | Legislative Proposal | Proposal for a regulation of the European parliament and of the Council amending Regulation (EU) No 345/2013 on European venture capital funds and Regulation (EU) No 346/2013 on European social entrepreneurship funds | |
| 14.07.2016 | EuSEF | European Parliament and Council | Legislative Proposal | Proposal for a regulation of the European parliament and of the Council amending Regulation (EU) No 345/2013 on European venture capital funds and Regulation (EU) No 346/2013 on European social entrepreneurship funds | |
| 26.06.2016 | CSDs | European Parliament and Council | Regulation | Regulation (EU) 2016/1033 of the European Parliament and the Council of 23 June 2016 amending Regulation (EU) No 600/2014 on markets in financial instruments, Regulation (EU) No 596/2014 on market abuse and Regulation (EU) No 909/2014 on improving securities settlement in the European Union and on central securities depositories | |
| 23.06.2016 | MiFIR | European Parliament and Council | Regulation | Regulation (EU) 2016/1033 of the European Parliament and the Council of 23 June 2016 amending Regulation (EU) No 600/2014 on markets in financial instruments, Regulation (EU) No 596/2014 on market abuse and Regulation (EU) No 909/2014 on improving securities settlement in the European Union and on central securities depositories | |
| 23.06.2016 | MiFID II | European Parliament and Council | Directive | Directive (EU) 2016/1034 of the European Parliament and the Council of 23 June 2016 amending Directive 2014/65/EU on markets in financial instruments | |
| 23.06.2016 | Market Abuse | European Parliament and Council | Regulation | Regulation (EU) 2016/1033 of the European Parliament and the Council of 23 June 2016 amending Regulation (EU) No 600/2014 on markets in financial instruments, Regulation (EU) No 596/2014 on market abuse and Regulation (EU) No 909/2014 on improving securities settlement in the European Union and on central securities depositories | |
| 08.06.2016 | Benchmarks | European Parliament and Council | Regulation | Regulation on indices used as benchmarks in financial instruments and financial contracts or to measure the performance of investment funds and amending Directives 2008/48/EC and 2014/17/EU and Regulation (EU) No 596/2014 | |
| 10.02.2016 | CSDs | European Parliament and Council | Legislative Proposal | Proposal for a regulation amending Regulation (EU) No 600/2014 on markets in financial instruments, Regulation (EU) No 596/2014 on market abuse and Regulation (EU) No 909/2014 on improving securities settlement in the European Union and on central securities depositories as regards certain dates | |
| 25.11.2015 | SFTR | European Parliament and Council | Regulation | Regulation (EU) 2015/2365 of the European Parliament and of the Council of 25 November 2015 on transparency of securities financing transactions and of reuse and amending Regulation (EU) No 648/2012 | |
| 25.11.2015 | Transparency Directive | European Parliament and Council | Regulation | Regulation (EU) 2015/2365 of the European Parliament and of the Council of 25 November 2015 on transparency of securities financing transactions and of reuse and amending Regulation (EU) No 648/2012 | |
| 20.05.2015 | AML | European Parliament and Council | Regulation | Regulation (EU) 2015/847 of the European Parliament and of the Council of 20 May 2015 on information accompanying transfers of funds and repealing Regulation (EC) No 1781/2006 | |
| 20.05.2015 | AML | European Parliament and Council | Directive | DIRECTIVE (EU) 2015/849 5 on the prevention of the use of the financial system for the purposes of money laundering or terrorist financing, amending Regulation (EU) No 648/2012 of the European Parliament and of the Council, and repealing Directive 2005/60/EC of the European Parliament and of the Council and Commission Directive 2006/70/EC | |
| 29.04.2015 | ELTIF | European Parliament and Council | Regulation | Regulation (EU) 2015/760 of the European Parliament and of the Council of 29 April 2015 on European long-term investment funds | |
| 13.12.2014 | PRIIPS | European Parliament and Council | Corrigenda | Corrigendum to Regulation (EU) No 1286/2014 of the European Parliament and of the Council of 26 November 2014 on key information documents for packaged retail and insurance-based investment products (PRIIPs) | |
| 09.12.2014 | PRIIPS | European Parliament and Council | Regulation | Regulation (EU) No 1286/2014 of the European Parliament and of the Council of 26 November 2014 on key information documents for packaged retail and insurance-based investment products (PRIIPs) | |
| 05.12.2014 | ELTIF | European Parliament and Council | Political Agreement | Proposal for a Regulation of the European Parliament and of the Council on European Long-term Investment Funds (ELTIFs) - Approval of the final compromise text | |
| 17.09.2014 | UCITS | European Parliament and Council | Directive | Directive 2009/65/EC of the European Parliament and of the Council of 13 July 2009 on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS) (recast) | |
| 23.07.2014 | UCITS | European Parliament and Council | Directive | Directive 2014/91/EC of the European Parliament and of the Council of 23.07.2014 amending Directive 2009/65/EC on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS) as regards depositary functions, remuneration policies and sanctions ("UCITS V") | |
| 23.07.2014 | CSDs | European Parliament and Council | Regulation | Regulation (EU) No 909/2014 of the European Parliament and of the Council of 23 July 2014 on improving securities settlement in the European Union and on central securities depositories and amending Directives 98/26/EC and 2014/65/EU and Regulation (EU) No 236/2012 | |
| 12.06.2014 | MiFIR | European Parliament and Council | Regulation | Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Regulation (EU) No 648/2012 | |
| 12.06.2014 | MiFID II | European Parliament and Council | Directive | Directive 2014/65/EU of the European Parliament and the Council of 15 May 2014 on markets in financial instruments and amending Directive 2002/92/EC and Directive 2011/61/EU (recast) | |
| 16.04.2014 | Market Abuse | European Parliament and Council | Regulation | Regulation (EU) No 596/2014 of the European Parliament and of the Council of 16 April 2014 on market abuse (market abuse regulation) and repealing Directive 2003/6/EC of the European Parliament and of the Council and Commission Directives 2003/124/EC, 2003/125/EC and 2004/72/EC | |
| 16.04.2014 | Market Abuse | European Parliament and Council | Directive | Directive 2014/57/EU of the European Parliament and of the Council of 16 April 2014 on criminal sanctions for market abuse (market abuse directive) | |
| 16.04.2014 | Solvency II | European Parliament and Council | Directive | DIRECTIVE 2014/51/EU of the European Parliament and of the Council of 16 April 2014 amending Directives 2003/71/EC and 2009/138/EC and Regulations (EC) No 1060/2009, (EU) No 1094/2010 and (EU) No 1095/2010 in respect of the powers of the European Supervisory Authority (European Insurance and Occupational Pensions Authority) and the European Supervisory Authority (European Securities and Markets Authority) | |
| 17.02.2014 | MiFID II | European Parliament and Council | Directive | Directive on Markets in Financial Instruments repealing directive 2004/39/EC | |
| 17.02.2014 | MiFIR | European Parliament and Council | Regulation | Regulation on markets in financial instruments and amending Regulation [EMIR] on OTC derivatives, central counterparties and trade repositories (MiFIR) | |
| 06.11.2013 | Transparency Directive | European Parliament and Council | Directive | Directive 2013/50/EU of the European Parliament and of the Council of 22 October 2013 amending Directive 2004/109/EC of the European Parliament and of the Council on the harmonisation of transparency requirements in relation to information about issuers whose securities are admitted to trading on a regulated market, Directive 2003/71/EC of the European Parliament and of the Council on the prospectus to be published when securities are offered to the public or admitted to trading and Commission Directive 2007/14/EC laying down detailed rules for the implementation of certain provisions of Directive 2004/109/EC | |
| 10.10.2013 | Transparency Directive | European Parliament and Council | Directive | Directive of the European Parliament and of the Council amending Directive 2004/109/EC of the European Parliament and of the Council on the harmonisation of transparency requirements in relation to information about issuers whose securities are admitted to trading on a regulated market, Directive 2003/71/EC of the European Parliament and of the | |
| 21.05.2013 | CRA | European Parliament and Council | Regulation | Regulation (EU) No 462/2013 amending Regulation (EC) No 1060/2009 on credit rating agencies | |
| 21.05.2013 | UCITS | European Parliament and Council | Directive | Directive 2013/14/EU of the EUropean Parliament and of the Council amending Directive 2003/41/EC on the activities and supervision of institutions for occupational retirement provision, Directive 2009/65/EC on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS) and Directive 2011/61/EU on alternative investment funds managers in respect of over-reliance on credit ratings | |
| 17.04.2013 | EuVECA | European Parliament and Council | Regulation | Regulation (EU) No 345/2013 on European venture capital funds | |
| 04.07.2012 | EMIR | European Parliament and Council | Regulation | Regulation (EU) No 648/2012 of the European parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories | |
| 03.07.2012 | IDD | European Parliament and Council | Directive | Directive of the European Parliament and of the Council on insurance distribution (recast) | |
| 08.06.2011 | AIFMD | European Parliament and Council | Directive | Directive 2011/61/EU on Alternative Investment Fund Managers | |
| 11.05.2011 | CRA | European Parliament and Council | Regulation | Regulation (EU) No 513/2011 of 11 May 2011 amending Regulation (EC) No 1060/2009 on credit rating agencies | |
| 29.12.2009 | CRA | European Parliament and Council | Regulation | Corrigendum to Regulation (EC) No 1060/2009 of the European Parliament and of the Council of 16 September 2009 on credit rating agencies | |
| 25.11.2009 | Solvency II | European Parliament and Council | Directive | Directive 2009/138/EC on the taking-up and pursuit of the business of Insurance and Reinsurance (Solvency II) | |
| 16.09.2009 | CRA | European Parliament and Council | Regulation | Regulation (EC) No 1060/2009 on credit rating agencies | |
| 13.07.2009 | UCITS | European Parliament and Council | Directive | Directive 2009/65/EC ("UCITS IV") on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS) | |
| 13.07.2009 | UCITS | European Parliament and Council | Directive | Directive 2009/65/EC of the European Parliament and of the Council of 13 July 2009 on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS) (as amendend by Directive 2014/91/EU, "UCITS V") | |
| 15.11.2006 | AML | European Parliament and Council | Regulation | Regulation (EC) No 1781/2006 on information on the payer accompanying transfers of funds | |
| 26.10.2005 | AML | European Parliament and Council | Directive | Directive 2005/60/EC on the prevention of the use of the financial system for the purpose of money laundering and terrorist financing | |
| 15.12.2004 | Transparency Directive | European Parliament and Council | Directive | Directive 2004/109/EC on the harmonisation of transparency requirements in relation to information about issuers whose securities are admitted to trading on a regulated market and amending Directive 2001/34/EC | |
| 21.04.2004 | MiFID I | European Parliament and Council | Directive | Directive 2004/39/EC on markets in financial instruments, amending Council Directives 85/611/EC and 93/6/EEC and Directive 2000/12/EC and repealing Council Directive 93/22/EEC | |
| 17.04.2003 | EuSEF | European Parliament and Council | Regulation | Regulation (EU) No 346/2013 on European social entrepreneurship funds | |
| 28.01.2003 | Market Abuse | European Parliament and Council | Directive | Directive 2003/6/EC on insider dealing and market manipulation (market abuse) | |
| 11.09.2002 | Transparency Directive | European Parliament and Council | Regulation | Regulation (EC) No 1606/2002 of the European Parliament and of the Council of 19 July 2002 on the application of international accounting standards | |
| 04.04.2019 | UCITS | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Penalties and measures imposed under the UCITS Directive in 2016 and 2017 | |
| 16.01.2019 | Market Abuse | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Report | Report to the Commission on the application of accepted market practices | |
| 11.01.2019 | Securitisation | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Other | Statement on ESMA’s near-term implementation of the Securitisation Regulation | |
| 10.01.2019 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Report | ESMA Annual Statistical Report - Performance and costs of retail investment products in the EU (2019) | |
| 08.01.2019 | Securitisation | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Other | Letter to EC on regulatory cooperation under the Securitisation Regulation | |
| 08.01.2019 | Securitisation | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Final report on draft technical standards on cooperation, exchange of information and notification between competent authorities and ESMA, the EBA and EIOPA under the Securitisation Regulation | |
| 04.01.2019 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Questions and Answers on MiFID II and MiFIR commodity derivatives topics | |
| 04.01.2019 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Questions and Answers on MiFID II and MiFIR transparency topics | |
| 21.12.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Guidelines | ESMA Guidelines on the application of C6 and C7 of Annex 1 of MiFID II | |
| 20.12.2018 | CSDs | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Guidelines on standardised procedures and messaging protocols used between investment firms and their professional clients under Article 6(2) of CSDR | |
| 20.12.2018 | CSDs | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Guidelines on Settlement Fails Reporting under Article 7(1) of CSDR | |
| 19.12.2018 | AIFMD | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Consultation Paper on integrating sustainability risks and factors in the UCITS Directive and AIFMD | |
| 19.12.2018 | UCITS | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Consultation Paper on integrating sustainability risks and factors in the UCITS Directive and AIFMD | |
| 19.12.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | ESMA Consultation Paper on integrating sustainability risks and factors in MiFID II | |
| 19.12.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | ESMA Consultation Paper on integrating sustainability risks and factors in MiFID II | |
| 19.12.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Other | ESMA Reminder to firms on their MiFID obligations on disclosure of information to clients in the context of the United Kingdom withdrawing from the European Union | |
| 19.12.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Other | ESMA Reminder to firms on their MiFID obligations on disclosure of information to clients in the context of the United Kingdom withdrawing from the European Union | |
| 19.12.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Consultation Paper on integrating sustainability risks and factors in MiFID II | |
| 19.12.2018 | CRA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Consultation Paper on guidelines on Disclosure Requirements Applicable to Credit Ratings | |
| 18.12.2018 | Securitisation | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Other | European Commission letter to ESMA on draft RTS and ITS securitisation disclosures | |
| 18.12.2018 | CRA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Implementation of the Regulation (EU) No 462/2013 on Credit Rating Agencies | |
| 18.12.2018 | Benchmarks | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Questions and Answers on the Benchmarks Regulation (BMR) | |
| 14.12.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Other | ESMA Notice of ESMA’s Product Intervention Renewal Decision in relation | |
| 12.12.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | ESMA Final Report - Amendment to Commission Delegated Regulation (EU) 2017/588 (RTS 11) | |
| 10.12.2018 | Securitisation | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Other | Instructions for providing STS notifications for public securitisations | |
| 15.11.2018 | Market Abuse | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Report | ESMA Annual report on administrative and criminal sanctions and other | |
| 14.11.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Questions and Answers on MiFID II and MiFIR market structures topics | |
| 13.11.2018 | MMF | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Draft guidelines on the reporting to competent authorities under 37 of the MMF Regulation | |
| 13.11.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Other | MiFID II Supervisory briefing on suitability | |
| 13.11.2018 | Securitisation | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Advice | ESMA Final Technical Advice Securitisation Repositories Fees | |
| 13.11.2018 | Securitisation | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Final Report on Securitisation Regulation technical standards on securitisation repository application requirements, operational standards, and access conditions | |
| 12.11.2018 | CSDs | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Questions and Answers on the implementation of the CSDR | |
| 09.11.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Call for evidence | ESMA Call for Evidence Periodic Auctions for Equity Instruments | |
| 09.11.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Questions and Answers on ESMA’s temporary product intervention measures on the marketing, distribution or sale | |
| 07.11.2018 | Market Abuse | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Reference Document | ESMA List of national competent authorities that have increased the thresholds persuant article 19(9) of MAR | |
| 06.11.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Guidelines | ESMA Guidelines on certain aspects of the MiFID II suitability requirements | |
| 31.10.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Other | Notice of ESMA’s Product Intervention Renewal Decision in relation to CFDs | |
| 15.10.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Note | Note of ESMA Contact points of national supervisory authorities for communication in the MiFID II framework on supervisory cooperation, authorisation, acquisitions and passporting | |
| 04.10.2018 | AIFMD | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Questions and Answers on the application of the AIFMD | |
| 02.10.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | ESMA Opinion on ancillary activity – market size calculation | |
| 28.09.2018 | Market Abuse | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Other | ESMA ComplianceTable regarding MAR Guidelines on delay in the disclosure of inside information | |
| 28.09.2018 | Market Abuse | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Other | ESMA Compliance table regarding MAR guidelines for persons receiving market soundings | |
| 28.09.2018 | Market Abuse | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Other | ESMA Compliance table regarding MAR Guidelines on information relating to commodity derivatives markets or related spot markets for the purpose of the definition of inside information on commodity derivatives | |
| 26.09.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Delegated Decision
| Decision of the Board of Supervisors - Withdrawal of MiFID guidelines on ‘systems and controls in an automated trading environment for trading platforms, investments firms and competent authorities’ | |
| 26.09.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Other | Letter of ESMA: MiFID II / MiFIR third country regimes, provision of investment services and activities at the exclusive initiative of the client and outsourcing of functions to third country entities | |
| 26.09.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Delegated Decision
| Decision of the Board of the Supervisors on delegation to the ESMA Chair of the assessment regarding third country trading venues for the purposes of Articles 57(4) of MiFID | |
| 24.09.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | ESMA Opinion on Position Limits on Phelix Deat Base Power Contract | |
| 24.09.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | ESMA Opinion on Position Limits on Swiss Power Base Contracts | |
| 24.09.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | ESMA Opinion on Position Limits on UK Natural Gas Contracts | |
| 05.09.2018 | Securitisation | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | ESMA Opinion on the European Commission’s proposed amendments to SFTR | |
| 22.08.2018 | Securitisation | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Final Report onTechnical standards on disclosure requirements under the Securitisation Regulation | |
| 06.08.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Questions and Answers on MiFID II Transitional Transparency Calculation | |
| 30.07.2018 | UCITS | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Peer review on the Guidelines on ETFs and other UCITS issues | |
| 24.07.2018 | MiFID I | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Report | ESMA Follow-up Report to the Peer Review on MiFID Suitability Requirements | |
| 24.07.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Report | ESMA Follow-up Report to the Peer Review on MiFID Suitability Requirements | |
| 23.07.2018 | UCITS | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Questions and Answers on the application of the UCITS Directive | |
| 19.07.2018 | CRA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Guidelines on the submission of periodic information to ESMA by CRA | |
| 18.07.2018 | CRA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Guidelines on the application of the endorsement regime under article 4(3) of the CRA Regulation - supplementary guidance on how to assess if a requirement is "as stringent as" the requirements set out in CRAR | |
| 16.07.2018 | Securitisation | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Final Report Draft RTS and ITS on STS Notification under Securitisation Regulation (EU) N° 2017/2402 | |
| 16.07.2018 | Securitisation | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Final Report Draft RTS on authorisation of firms providing STS verification services under Securitisation Regulation (EU) 2017/2402 | |
| 12.07.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Questions and Answers on MiFID II and MiFIR investor protection topics | |
| 12.07.2018 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Questions and Answers on MiFID II and MiFIR investor protection topics | |
| 12.07.2018 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Questions and Answers on ESMA’s temporary product intervention measures | |
| 12.07.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Questions and Answers on MiFID II and MiFIR transparency topics | |
| 12.07.2018 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Questions and Answers on MiFID II and MiFIR transparency topics | |
| 12.07.2018 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Questions and Answers on the implementation of the EMIR | |
| 11.07.2018 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Consultation Paper - Clearing Obligation under EMIR (no.6) | |
| 20.06.2018 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Other | ESMA statement on LEI requirements under MiFIR | |
| 01.06.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | ESMA Technical Q&As on product intervention measures on CFDs and binary options | |
| 01.06.2018 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | ESMA Technical Q&As on product intervention measures on CFDs and binary options | |
| 01.06.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Report | ESMA Product Intervention Analysis - Mesures on Binary Options | |
| 01.06.2018 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Report | ESMA Product Intervention Analysis - Mesures on Binary Options | |
| 01.06.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Report | ESMA Product Intervention Analysis - Measures on Contracts for Differences (CFDs) | |
| 01.06.2018 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Report | ESMA Product Intervention Analysis - Measures on Contracts for Differences (CFDs) | |
| 01.06.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Press Release | ESMA adopts final product intervention measures on CFDs and binary options | |
| 01.06.2018 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Press Release | ESMA adopts final product intervention measures on CFDs and binary options | |
| 30.05.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Other | Statement of the EBA and ESMA on the treatment of retail holdings of debt financial instruments subject to the Bank Recovery and Resolution Directive | |
| 30.05.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Press Release | EBA-ESMA opinion on retail holders of bail-inable instruments | |
| 29.05.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Questions and Answers on MiFID II and MiFIR market structures topics | |
| 29.05.2018 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Questions and Answers on MiFID II and MiFIR market structures topics | |
| 29.05.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Questions and Answers on MiFID II and MiFIR transparency topics | |
| 29.05.2018 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Questions and Answers on MiFID II and MiFIR transparency topics | |
| 28.05.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Guidelines | Guidelines on certain aspects of the MiFID II suitability requirements | |
| 25.05.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Questions and Answers on MiFIR data reporting | |
| 25.05.2018 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Questions and Answers on MiFIR data reporting | |
| 25.05.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Questions and Answers on MiFID II and MiFIR investor protection topics | |
| 25.05.2018 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Questions and Answers on MiFID II and MiFIR investor protection topics | |
| 11.04.2018 | Market Abuse | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | ESMA Opinion relating to the intended Accepted Market Practice on liquidity contracts notified by the Autorité des marchés financiers | |
| 27.03.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | FAQ ESMA’s product intervention measures in relation to CFDs and binary options offered to retail investors | |
| 27.03.2018 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | FAQ ESMA’s product intervention measures in relation to CFDs and binary options offered to retail investors | |
| 27.03.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Reference Document | Additional information on the agreed product intervention measures relating to contracts for differences and binary options | |
| 27.03.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Questions and Answers on MiFID II and MiFIR commodity derivatives topics | |
| 27.03.2018 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Questions and Answers on MiFID II and MiFIR commodity derivatives topics | |
| 26.03.2018 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Reference Document | List of trading venues and CCPs benefiting from a transitional exemption from the access provisions under Article 54(2) of MiFIR | |
| 26.03.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Reference Document | List of trading venues benefiting from a transitional exemption from the access provisions under Article 36(5) of MiFIR | |
| 26.03.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Final report - Amendments to Commission Delegated Regulation (EU) 2017/587 (RTS 1) | |
| 23.03.2018 | Market Abuse | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Questions and Answers On the Market Abuse Regulation (MAR) Version 11 | |
| 23.03.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Questions and Answers on MiFID II and MiFIR investor protection and intermediaries topics | |
| 23.03.2018 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Questions and Answers on MiFID II and MiFIR investor protection and intermediaries topics | |
| 23.03.2018 | Securitisation | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Consultation Paper Draft technical standards on the application for registration as a securitisation repository under the Securitisation Regulation | |
| 23.03.2018 | Securitisation | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Consultation Report ESMA’s technical advice to the Commission on fees for securitisation Repositories under the Securitisation Regulation | |
| 21.03.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Guidelines | Guidelines on the assessment of the suitability of members of the management body and key function holders | |
| 21.03.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Guidelines | Annex to the Guidelines on the assessment of the suitability of members of the management body and key function holders | |
| 21.03.2018 | MMF | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Guidelines | Guidelines on stress tests scenarios under Article 28 of the MMF Regulation | |
| 21.03.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | ESMA opinion on package orders' trading obligation under MiFID II | |
| 14.03.2018 | Securitisation | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Consultation Paper on Draft technical standards on the application for registration as a securitisation repository under the Securitisation Regulation | |
| 09.03.2018 | MMF | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Other | Letter form the EU Commission to ESMA on the implementation of the MMF regulation ("share cancellation") | |
| 01.03.2018 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Reference Document | EMIR validation table ESMA | |
| 07.02.2018 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Questions and Answers on MiFID II and MiFIR transparency topics | |
| 06.02.2018 | Market Abuse | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Draft Implementing Technical Standards on forms and procedures for cooperation under Article 24 and 25 of Regulation (EU) No 596/2014 on market abuse | |
| 05.02.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Guidelines | Guidelines on MiFID II product governance requirements | |
| 19.01.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | FAQs on MiFID II - Transitional Transparency Calculations | |
| 18.01.2018 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Reference Document | List of third-country central counterparties recognised to offer services and activities in the Union | |
| 18.01.2018 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Reference Document | Public Register for the Clearing Obligation under EMIR (Latest update 18 January 2018) | |
| 18.01.2018 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Reference Document | List of Central Counterparties authorised to offer services and activities in the Union (Last update 18 January 2018) | |
| 18.01.2018 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Call for evidence - Potential product intervention measures on contracts for differences and binary options to retail clients | |
| 20.12.2017 | CRA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Report | Report on CRA Market Share Calculation | |
| 19.12.2017 | Securitisation | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Consultation Paper on Draft technical standards on content and format of the STS notification under the Securitisation Regulation | |
| 19.12.2017 | Securitisation | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Consultation Paper on the Draft technical standards on disclosure requirements, operational standards, and access conditions under the Securitisation Regulation | |
| 19.12.2017 | Securitisation | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Consultation Paper on the Draft technical standards on third-party firms providing STS verification services under the Securitisation Regulation | |
| 18.12.2017 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Questions and answers on MiFIR data reporting | |
| 15.12.2017 | Prospectus II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Draft regulatory technical standards under the new Prospectus Regulation | |
| 15.12.2017 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Questions and Answers on MiFID II and MiFIR commodity derivatives topics | |
| 15.12.2017 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Questions and Answers on MiFID II and MiFIR commodity derivatives topics | |
| 17.11.2017 | CRA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Advice | Technical advice on CRA regulatory equivalence – CRA 3 update | |
| 17.11.2017 | CRA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Guidelines | Update of the guidelines on the application of the endorsement regime under Article 4(3) of the Credit Rating Agencies Regulation | |
| 17.11.2017 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | ESMA’s Guidelines on position calculation under EMIR | |
| 13.11.2017 | MMF | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Final Report - Technical advice, draft implementing technical standards and guidelines under the MMF Regulation | |
| 09.11.2017 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Amendments to Commission Delegated Regulation (EU) 2017/587 (RTS 1) | |
| 20.10.2017 | Prospectus | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Questions and Answers - Prospectuses (27th updated version – October 2017) | |
| 03.10.2017 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Questions and Answers on MiFID II and MiFIR market structures topics | |
| 29.09.2017 | Benchmarks | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Consultation Paper - Draft guidelines on non-significant benchmarks | |
| 28.09.2017 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Guidelines | Guidelines on the management body of market operators and data reporting services providers | |
| 28.09.2017 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Final Report - Guidelines on the management body of market operators and data reporting service providers | |
| 28.09.2017 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Draft RTS on the trading obligation for derivatives under MiFIR | |
| 26.09.2017 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body and key function holders under Directive 2013/36/EU and Directive 2014/65/EU | |
| 07.08.2017 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Guidelines | Guidelines - Transaction reporting, order record keeping and clock synchronisation under MiFID II | |
| 20.07.2017 | UCITS | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | Asset segregation and application of depositary delegation rules to CSDs | |
| 20.07.2017 | AIFMD | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | Asset segregation and application of depositary delegation rules to CSDs | |
| 13.07.2017 | AIFMD | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | Opinion to support supervisory convergence in the area of investment management in the context of the United Kingdom withdrawing from the European Union | |
| 13.07.2017 | UCITS | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | Opinion to support supervisory convergence in the area of investment management in the context of the United Kingdom withdrawing from the European Union | |
| 13.07.2017 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Guidelines on certain aspects of the MiFID II suitability requirements | |
| 13.07.2017 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | Opinion to support supervisory convergence in the area of secondary markets in the context of the United Kingdom withdrawing from the European Union | |
| 13.07.2017 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | Opinion to support supervisory convergence in the area of investment firms in the context of the United Kingdom withdrawing from the European Union | |
| 13.07.2017 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | Opinion to support supervisory convergence in the area of secondary markets in the context of the United Kingdom withdrawing from the European Union | |
| 13.07.2017 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | Opinion to support supervisory convergence in the area of investment firms in the context of the United Kingdom withdrawing from the European Union | |
| 11.07.2017 | CSDs | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Guidelines | Cooperation between authorities under Articles 17 and 23 of Regulation (EU) No 909/2014 | |
| 10.07.2017 | CSDs | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Guidelines on Internalised Settlement Reporting under Article 9 of CSDR | |
| 10.07.2017 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Draft technical standards on data to be made publicly available by TRs under Article 81 of EMIR | |
| 07.07.2017 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Questions and answers on MiFID II and MiFIR commodity derivatives topics | |
| 06.07.2017 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | Opinion on ancillary activity – market size calculation | |
| 06.07.2017 | Prospectus II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Draft technical advice on format and content of the prospectus | |
| 06.07.2017 | Prospectus II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Draft technical advice on content and format of the EU Growth prospectus | |
| 06.07.2017 | Prospectus II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Draft technical advice on scrutiny and approval of the prospectus | |
| 03.07.2017 | Prospectus | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Report | Report on the EEA prospectus activity in 2016 | |
| 19.06.2017 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Consultation Paper on the trading obligation for derivatives under MiFIR | |
| 02.06.2017 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Guidelines on MiFID II product governance requirements | |
| 02.06.2017 | Benchmarks | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Guidelines | Methodological framework on the selection of supervised entities for mandatory contribution under Article 23(7) BMR | |
| 01.06.2017 | Benchmarks | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Draft regulatory technical standards on cooperation arrangements with third countries under the Benchmarks Regulation | |
| 01.06.2017 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Guidelines on CCP conflicts of interest management | |
| 01.06.2017 | CSDs | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Guidelines | Guidelines on the Process for the Calculation of the Indicators to Determine the Substantial Importance of a CSD for a Host Member State | |
| 31.05.2017 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | Opinion determining third-country trading venues for the purpose of position limits under MiFID II | |
| 31.05.2017 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Press Release | ESMA registers Bloomberg Trade Repository Limited as a trade repository | |
| 30.05.2017 | Market Abuse | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Draft Implementing Technical Standards on forms and procedures for cooperation between competent authorities under Regulation (EU) No 596/2014 on market abuse | |
| 30.05.2017 | Market Abuse | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | Communication on the launch of reference data submission under Article 4(1) of Regulation (EU) of Regulation (EU) No 596/ on market abuse (MAR) | |
| 24.05.2017 | MMF | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Draft technical advice, implementing technical standards and guidelines under the MMF Regulation | |
| 22.05.2017 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | Opinion on OTC derivatives traded on a trading venue | |
| 22.05.2017 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | OTC derivatives traded on a trading venue | |
| 25.04.2017 | Market Abuse | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | Points for convergence in relation to MAR accepted market practices on liquidity contracts | |
| 20.04.2017 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | ESMA Technical advice to EC on fees to TRs under SFTR and on certain amendments to fees to TRs under EMIR | |
| 20.04.2017 | SFTR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | ESMA Technical advice to EC on fees to TRs under SFTR and on certain amendments to fees to TRs under EMIR | |
| 20.04.2017 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | ESMA Technical advice to EC on fees to TRs under SFTR and on certain amendments to fees to TRs under EMIR | |
| 10.04.2017 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | Opinion on portfolio margining requirements under Article 27 of Commission Delegated Regulation (EU) No 153/2013 | |
| 06.04.2017 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Guidelines on the calibration of circuit breakers and the publication and reporting of trading halts under MiFID II | |
| 06.04.2017 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Guidelines | Calibration of circuit breakers and publication of trading halts under MiFID II | |
| 06.04.2017 | CRA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Report | A Common Approach to the CRA Regulation’s Provisions for Encouraging the use of Smaller CRAs | |
| 04.04.2017 | CRA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Update of the guidelines on the application of the endorsement regime under Article 4(3) of the Credit Rating Agencies Regulation | |
| 31.03.2017 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Questions and Answers relating to the provision of CFDs and other speculative products to retail investors under MiFID | |
| 31.03.2017 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Questions and Answers relating to the provision of CFDs and other speculative products to retail investors under MiFID | |
| 31.03.2017 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Draft RTS specifying the scope of the consolidated tape for non-equity financial instruments | |
| 31.03.2017 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Final report on technical standards under SFTR and certain amendments to EMIR | |
| 31.03.2017 | SFTR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Technical standards under SFTR and certain amendments to EMIR | |
| 31.03.2017 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Technical standards under SFTR and certain amendments to EMIR | |
| 30.03.2017 | Benchmarks | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Draft technical standards under the Benchmarks Regulation | |
| 23.03.2017 | CRA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Guidelines | Guidelines on the validation and review of Credit Rating Agencies’ methodologies | |
| 23.03.2017 | CSDs | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Guidelines on participant default rules and procedures under Regulation (EU) No 909/2014 | |
| 09.02.2017 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | ITS 4: Draft implementing technical standards on position reporting (Article 58(5) of MiFID II) | |
| 03.02.2017 | Transparency Directive | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Reference Document | Practical Guide National rules on notifications of major holdings under the Transparency Directive | |
| 30.01.2017 | UCITS | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | Opinion on share classes of UCITS | |
| 27.01.2017 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Other | Letter regarding EMIR Review and ESMA sanctioning powers under EMIR and CRAR | |
| 27.01.2017 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Other | Letter regarding EMIR Review and ESMA sanctioning powers under EMIR and CRAR | |
| 26.01.2017 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Reference Document | List of third-country markets considered as equivalent to a regulated market in the Union for the purposes of the definition of OTC derivatives (Latest update 26 January 2017) | |
| 17.01.2017 | Market Abuse | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Guidelines | MAR Guidelines on commodity derivatives | |
| 12.01.2017 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Reference Document | MiFID II technical data reporting requirements | |
| 12.01.2017 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Reference Document | MiFID II technical data reporting requirements | |
| 12.01.2017 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | Impact of the exclusion of fund management companies from the scope of the MiFIR Intervention Powers | |
| 11.01.2017 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Report | Follow-up Report to the Peer Review on Best Execution | |
| 11.01.2017 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Report | EBA and ESMA Report on the functioning of the Regulation (EU) No 575/2013 (CRR) with the related obligations under Regulation (EU) No 648/2012 (EMIR) | |
| 22.12.2016 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Reference Document | Peer Review under EMIR Art. 21 - Supervisory activities on CCPs’ Margin and Collateral requirements | |
| 19.12.2016 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | ESMA’s technical advice to the Commission on fees for TRs under SFTR and on certain amendments of for fees under EMIR certain amendments | |
| 19.12.2016 | SFTR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | ESMA’s technical advice to the Commission on fees for TRs under SFTR and on certain amendments of for fees under EMIR | |
| 19.12.2016 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | ESMA’s technical advice to the Commission on fees for TRs under SFTR and on certain amendments of for fees under EMIR | |
| 15.12.2016 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Draft technical standards on data to be made publicly available by TRs under Article 81 of EMIR | |
| 15.11.2016 | CRA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Guidelines | Guidelines on the validation and review of Credit Rating Agencies’ methodologies | |
| 15.11.2016 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | Common indicators for new products and services under Article 15 and for significant changes under Article 49 of EMIR | |
| 14.11.2016 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Final report on the clearing obligation for financial counterparties with a limited volume of activity | |
| 10.11.2016 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Draft RTS on package orders for which there is a liquid market | |
| 10.11.2016 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Draft RTS on package orders for which there is a liquid market | |
| 10.11.2016 | Benchmarks | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Technical advice under the Benchmarks Regulation | |
| 10.11.2016 | Market Abuse | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Guidelines | Persons receiving market soundings | |
| 31.10.2016 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Annex I to the joint ESMA and EBA draft Guidelines on the assessment of the suitability of members of the management body and key function holders under Directive 2013/36/EU and Directive 2014/65/EU: Template for a matrix to assess the collective competence of members of the management body (Excel) | |
| 28.10.2016 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Joint ESMA and EBA draft Guidelines on the assessment of the suitability of members of the management body and key function holders under Directive 2013/36/EU and Directive 2014/65/EU | |
| 28.10.2016 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body and key function holders under Directive 2013/36/EU and Directive 2014/65/EU | |
| 20.10.2016 | Market Abuse | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Guidelines | MAR Guidelines- Delay in the disclosure of inside information | |
| 20.10.2016 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Consultation Paper for joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body and key function holders under Directive 2013/36/EU and Directive 2014/65/EU | |
| 14.10.2016 | UCITS | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Guidelines | Guidelines on sound remuneration policies under the UCITS Directive | |
| 14.10.2016 | AIFMD | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Guidelines | Guidelines on sound remuneration policies under the AIFMD | |
| 10.10.2016 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Guidelines | Transaction reporting, order record keeping and clock synchronisation under MiFID II | |
| 06.10.2016 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Guidelines on the calibration, publication and reporting of trading halts | |
| 05.10.2016 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Guidelines on specific notions under MiFID II related to the management body of market operators and data reporting services providers | |
| 05.10.2016 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Draft guidelines on MiFID II product governance requirements | |
| 03.10.2016 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | RTS specifying the scope of the consolidated tape for non-equity financial instruments | |
| 30.09.2016 | Market Abuse | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Guidelines on MAR - information relating to commodity derivatives markets or related spot markets for the purpose of the definition of inside information on commodity derivatives | |
| 30.09.2016 | SFTR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Reference Document | SFTR tables (excel) | |
| 30.09.2016 | SFTR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Draft RTS and ITS under SFTR and amendments to related EMIR RTS | |
| 30.09.2016 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Draft RTS and ITS under SFTR and amendments to related EMIR RTS | |
| 30.09.2016 | SFTR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Consultation Paper Draft RTS and ITS under SFTR and amendments to related EMIR RTS | |
| 29.09.2016 | Benchmarks | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Draft technical standards under the Benchmarks Regulation | |
| 20.09.2016 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Discussion paper | The trading obligation for derivatives under MiFIR | |
| 26.07.2016 | Market Abuse | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Draft Implementing Technical Standards on sanctions and measures under Regulation (EU) No 596/2014 on market abuse | |
| 18.07.2016 | AIFMD | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Advice | Advice to the European Parliament, the Council and the Commission on the application of the AIFMD passport to non-EU AIFMs and AIFs | |
| 15.07.2016 | AIFMD | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Call for evidence on asset segregation and custody services | |
| 15.07.2016 | UCITS | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Call for evidence on asset segregation and custody services | |
| 13.07.2016 | Market Abuse | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Guidelines on the Market Abuse Regulation - market soundings and delay of disclosure of inside information | |
| 13.07.2016 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Consultation paper on the clearing obligation for financial counterparties with a limited volume of activity | |
| 17.06.2016 | Market Abuse | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | Draft Implementing Technical Standards on the technical means for appropriate public disclosure of inside information and for delaying the public disclosure of inside information | |
| 08.06.2016 | ELTIF | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Draft regulatory technical standards under the ELTIF Regulation | |
| 06.06.2016 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | MOU | Memorandum of Understanding related to ESMA's assessment of compliance and monitoring of the ongoing compliance with recognition conditions by derivatives clearing organizations established in the United States | |
| 31.05.2016 | CSDs | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Guidelines on participant default rules and procedures under CSDR | |
| 31.05.2016 | EuSEF | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Application of the EuSEF and EuVECA Regulations | |
| 31.05.2016 | EuVECA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Application of the EuSEF and EuVECA Regulations | |
| 30.05.2016 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | Draft Regulatory Technical Standard on criteria for establishing when an activity is to be considered ancillary to the main business | |
| 27.05.2016 | Benchmarks | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Draft technical advice under the Benchmarks Regulation | |
| 26.05.2016 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Draft regulatory technical standards on indirect clearing arrangements under EMIR and MiFIR | |
| 26.05.2016 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Draft regulatory technical standards on indirect clearing arrangements under EMIR and MiFIR | |
| 25.05.2016 | Market Abuse | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Communication | Reference data submission under Article 4(1) of Regulation No 596/2014 on market abuse (MAR) | |
| 02.05.2016 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | Opinion (annex) Amended draft Regulatory Technical Standards on transparency requirements in respect of bonds, structured finance products, emission allowances and derivatives under MiFIR | |
| 02.05.2016 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | Opinion on draft Regulatory Technical Standards on transparency requirements in respect of bonds, structured finance products, emission allowances and derivatives under MiFIR | |
| 02.05.2016 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | Opinion (Annex) Amended draft Regulatory Technical Standards on the methodology for the calculation and the application of position limits for commodity derivatives traded on trading venues and economically equivalent OTC contracts | |
| 02.05.2016 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | Opinion on draft Regulatory Technical Standards on methodology for calculation and the application of position limits for commodity derivatives traded on trading venues and economically equivalent OTC contracts | |
| 07.04.2016 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | MiFID Suitability Requirements - Peer Review Report | |
| 06.04.2016 | UCITS | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Discussion paper | Discussion paper on UCITS share classes | |
| 05.04.2016 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Review of Article 26 of RTS No 153/2013 with respect to MPOR for client accounts | |
| 05.04.2016 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Draft technical standards on access to data and aggregation and comparison of data across TR under Article 81 of EMIR | |
| 01.04.2016 | Market Abuse | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Questions and answers on the common operation of the Market Abuse Directive | |
| 31.03.2016 | AIFMD | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Guidelines on sound remuneration policies under the UCITS Directive and AIFMD | |
| 31.03.2016 | UCITS | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Guidelines on sound remuneration policies under the UCITS Directive and AIFMD | |
| 30.03.2016 | Market Abuse | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Consultation paper on MAR Guidelines on information on commodities | |
| 23.03.2016 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Other | Decision to adopt a supervisory measure taking the form of a public notice and to impose a fine in accordance with Statement of Findings in accordance with Articles 64(5), 65, 67 and 73 of Regulation (EC) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories | |
| 22.03.2016 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Guidelines | Guidelines for the assessment of knowledge and competence | |
| 11.03.2016 | SFTR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Discussion paper | Draft RTS and ITS under SFTR | |
| 01.03.2016 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Possible systemic risk and cost implications of interoperability arrangements | |
| 15.02.2016 | Benchmarks | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Discussion paper | Benchmarks Regulation | |
| 05.02.2016 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Report | ESMA’s supervision of credit rating agencies and trade repositories | |
| 31.01.2016 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Press Release | ESMA fines DTCC Derivatives Repository Limited €64,000 for data access failures | |
| 28.01.2016 | Market Abuse | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Consultation paper- Draft Guidelines on the Market Abuse Regulation | |
| 23.12.2015 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Guidelines on transaction reporting, reference data, order record keeping & clock synchronisation | |
| 22.12.2015 | Market Abuse | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | MAD Supervisory Practices peer review follow-up | |
| 11.12.2015 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Draft implementing technical standards under MiFID II | |
| 11.12.2015 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Draft technical standards on access to data and aggregation and comparison of data across TR under Article 81 of EMIR | |
| 26.11.2015 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Guidelines on complex debt instruments and structured deposits | |
| 19.11.2015 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Other | ESMA will not exempt the collateralisation of bank guarantees for energy derivatives under EMIR | |
| 13.11.2015 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Review of the Regulatory and Implementing Technical Standards on reporting under Article 9 of EMIR | |
| 10.11.2015 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Draft technical standards on the Clearing Obligation – Interest rate OTC Derivatives in additional currencies | |
| 06.11.2015 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Reference Document | Notification of exceeding the clearing threshold (form) | |
| 06.11.2015 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Reference Document | Notification of no longer exceeding the clearing threshold (form) | |
| 05.11.2015 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Indirect clearing arrangements under EMIR and MiFIR | |
| 05.11.2015 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Indirect clearing arrangements under EMIR and MiFIR | |
| 28.10.2015 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Draft Regulatory and Implementing Technical Standards MiFID II/MiFIR | |
| 22.10.2015 | Transparency Directive | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Questions and answers regarding the Transparency Directive (2004/109/EC) - updated October 2015 | |
| 21.10.2015 | AML | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Joint consultation paper on simplified and enhanced customer due diligence and the factors credit and financial institutions should consider when assessing the money laundering and terrorist financing risk associated with individual business relationships and occasional transactions | |
| 21.10.2015 | AML | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Joint consultation paper on the characteristics of a risk-based approach to anti-money laundering and terrorist financing supervision and the steps to be taken when conducting supervision on a risk-sensitive basis | |
| 08.10.2015 | CSDs | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Impact Assessment Annex III to the Final Report on draft Technical Standards under the Regulation No 909/2014 of the European Parliament and of the Council of 23 July 2014 on improving securities settlement in the European Union and on central securities depositories and amending Directives 98/26/EC and 2014/65/EU and Regulation (EU) No 236/2012 (CSDR) | |
| 08.10.2015 | CSDs | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Draft technical standards under CSDR Annex II to the Final Report on the draft technical standards under the Regulation No 909/2014 of the European Parliament and of the Council of 23 July 2014 on improving securities settlement in the European Union and on central securities depositories and amending Directives 98/26/EC and 2014/65/EU and Regulation (EU) No 236/2012 (CSDR) | |
| 08.10.2015 | CSDs | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Draft technical standards under the Regulation No 909/2014 of the European Parliament and of the Council of 23 July 2014 on improving securities settlement in the European Union and on central securities depositories and amending Directives 98/26/EC and 2014/65/EU and Regulation (EU) No 236/2012 (CSDR) | |
| 08.10.2015 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Cost Benefit Analysis – Annex II - Draft Regulatory and Implementing Technical Standards MiFID II/MiFIR | |
| 08.10.2015 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Regulatory technical and implementing standards – Annex I | |
| 08.10.2015 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Cost Benefit Analysis – Annex II - Draft Regulatory and Implementing Technical Standards MiFID II/MiFIR | |
| 08.10.2015 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Regulatory technical and implementing standards – Annex I | |
| 08.10.2015 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Draft Regulatory and Implementing Technical Standards MiFID II/MiFIR | |
| 02.10.2015 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Other | ESMA letter to European Commission regarding regulatory technical standards on indirect clearing under EMIR and under MiFIR | |
| 01.10.2015 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Draft technical standards on the Clearing Obligation – Credit Derivatives | |
| 30.09.2015 | CRA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Advice | Competition, choice and conflicts of interest in the credit rating industry | |
| 28.09.2015 | Market Abuse | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Cost analysis for Final Report on MAR technical standards | |
| 31.08.2015 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Draft implementing technical standards under MiFID II regarding trading suspensions, data service providers and derivatives reporting | |
| 26.08.2015 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Discussion paper | Review of Article 26 of RTS No 153/2013 with respect to client accounts | |
| 13.08.2015 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Report | EMIR Review Report no.4 ESMA input as part of the Commission consultation on the EMIR Review | |
| 13.08.2015 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Report | EMIR Review Report no.3 on the segregation and portability requirements | |
| 13.08.2015 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Report | EMIR Review Report no.2 on the efficiency of margining requirements to limit procyclicality | |
| 13.08.2015 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Report | EMIR Review Report no.1 on the use of OTC derivatives by non-financial counterparties | |
| 13.08.2015 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Press Release | ESMA recommends changes to EMIR framework | |
| 31.07.2015 | ELTIF | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Draft regulatory technical standards under the ELTIF Regulation | |
| 30.07.2015 | AIFMD | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | Opinion to the European Parliament, Council and Commission and responses to the call for evidence on the functioning of the AIFMD EU passport and of the National Private Placement Regimes | |
| 30.07.2015 | AIFMD | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Advice | Advice to the European Parliament, the Council and the Commission on the application of the AIFMD passport to non-EU AIFMs and AIFs | |
| 23.07.2015 | AIFMD | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Guidelines on sound remuneration policies under the UCITS Directive and AIFMD | |
| 01.07.2015 | AML | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Investment-based crowdfunding: money laundering/terrorist financing | |
| 30.06.2015 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | The extension of the scope of interoperability arrangements | |
| 29.06.2015 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | MiFID II/MiFIR draft Technical Standards on authorisation, passporting, registration of third country firms and cooperation between competent authorities | |
| 29.06.2015 | MiFIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | MiFID II/MiFIR draft Technical Standards on authorisation, passporting, registration of third country firms and cooperation between competent authorities | |
| 22.05.2015 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | ESMA Opinion to the EU institutions on the impact of EMIR on UCITS | |
| 22.05.2015 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Feedback statement | Feedback statement on the discussion paper on the impact of EMIR on the calculation of counterparty risk for OTC financial derivative transactions by UCITS | |
| 22.05.2015 | UCITS | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | Impact of Regulation 648/2012 on Articles 50(1)(g) (iii) and 52 and of Directive 2009/65/EC for over-the-counter financial derivative transactions that are centrally cleared | |
| 11.05.2015 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Clearing Obligation under EMIR (no.4) | |
| 07.05.2015 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Draft Opinion | Draft opinion on the composition of CCP colleges under EMIR | |
| 07.05.2015 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | Opinion on the composition of CCP colleges under EMIR | |
| 06.05.2015 | MiFID I | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Guidelines and Recommendations | The application of the definitions in Sections C6 and C7 of Annex I of Directive 2004/39/EC (MiFID) | |
| 23.04.2015 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Draft guidelines for the assessment of knowledge and competence | |
| 01.04.2015 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Press Release | ESMA launches centralised data projects for MiFIR and EMIR | |
| 20.03.2015 | Securitisation | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Press Release | The extension of the disclosure requirements to private and bilateral transactions for Structured Finance Instruments | |
| 19.03.2015 | CRA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Guidelines | Guidelines on periodic information to be submitted to ESMA by Credit Rating Agencies | |
| 09.03.2015 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | MOU | Memorandum of Understanding related to ESMA's Monitoring of the Ongoing Compliance with Recognition Conditions by Central Counterparties established in Singapore | |
| 06.03.2015 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | ESMA's revised opinion on draft RTS on the Clearing Obligation on Interest Rate Swaps | |
| 06.03.2015 | Solvency II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Joint Consultation Paper on Draft Implementing Technical Standards on the allocation of credit assessments of ECAIs to an objective scale of credit quality steps under Article 109 (a) of Directive 2009/138/EC | |
| 05.03.2015 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | MOU | Memorandum of Understanding between ESMA and RBA regarding trade repositories | |
| 27.02.2015 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | MOU | Memorandum of Understanding on Cooperation Arrangements to access information on derivatives contracts held in European Union trade repositories | |
| 25.02.2015 | MiFID I | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Report | Peer Review Report - Best execution under MiFID | |
| 18.02.2015 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | MOU | Memorandum of Understanding related to CCPs established in Japan | |
| 18.02.2015 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Addendum Consultation Paper MiFID II/MiFIR | |
| 16.02.2015 | EuVECA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | ESMA's technical advice to the European Commission on the delegated acts of the Regulations on European Social Entrepreneurship Funds and European Venture Capital Funds | |
| 16.02.2015 | EuSEF | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | ESMA's technical advice to the European Commission on the delegated acts of the Regulations on European Social Entrepreneurship Funds and European Venture Capital Funds | |
| 29.01.2015 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | Opinion on draft RTS on the Clearing Obligation in Interest Rate Swaps | |
| 16.01.2015 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | MOU | Memorandum of Understanding Related to ESMA's Monitoring of the On-going Compliance with recognition conditions by CCPs established in Hong-Kong | |
| 09.01.2015 | UCITS | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | ESMA’s guidelines on ETFs and other UCITS issues (January 09, 2015 updated) | |
| 08.01.2015 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Report | ESMA review of CCP colleges under EMIR | |
| 23.12.2014 | UCITS | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Share classes of UCITS | |
| 22.12.2014 | CRA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Report | Credit Rating Agencies’ 2014 market share calculations for the purposes of Article 8d of the CRA Regulation | |
| 22.12.2014 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Consultation Paper - Annex A - Regulatory technical standards on MiFID II/MiFIR | |
| 19.12.2014 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | ESMA’s Technical Advice to the Commission on MiFID II and MiFIR | |
| 19.12.2014 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Consultation Paper on MiFID II/MiFIR | |
| 19.12.2014 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Consultation Paper - Annex B - Regulatory technical standards on MiFID II/MiFIR | |
| 18.12.2014 | CSDs | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Consultation Paper on Guidelines on the Access to a CCP or a Trading Venue by a CSD | |
| 18.12.2014 | CSDs | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Consultation Paper on Technical Standards under the CSD Regulation | |
| 18.12.2014 | CSDs | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Consultation Paper on Technical Advice under the CSD Regulation | |
| 16.12.2014 | CRA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Credit Rating Agencies - ESMA’s investigation into structured finance ratings | |
| 11.12.2014 | MiFID I | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Report | Peer review report on MiFID – Conduct of Business, fair, clear and not misleading information | |
| 01.12.2014 | AIFMD | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Guidelines on asset segregation under the AIFMD | |
| 20.11.2014 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Other | ESMA letter to European Commission regarding EMIR clearing obligation | |
| 11.11.2014 | EuSEF | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Application of the EuSEF and EuVECA Regulations (November 11 , 2014 updated) | |
| 11.11.2014 | EuVECA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Application of the EuSEF and EuVECA Regulations (November 11, 2014 updated) | |
| 10.11.2014 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Review of the technical standards on reporting under Article 9 of EMIR | |
| 07.11.2014 | AIFMD | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Call for evidence on AIFMD passport and third country AIFMs | |
| 01.10.2014 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Press Release | ESMA defines products, counterparties and starting dates for the clearing of interest rate swaps | |
| 01.10.2014 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Draft technical standards on the Clearing Obligation – Interest Rate OTC Derivatives (no 3) | |
| 01.10.2014 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Clearing Obligation under EMIR (no.3) | |
| 29.09.2014 | MiFID I | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Guidelines on the application of C6 and C7 of Annex I of MiFID | |
| 29.09.2014 | Transparency Directive | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Draft Regulatory Technical Standards on major shareholdings and an indicative list of financial instruments subject to notification requirements under the revised Transparency Directive | |
| 26.09.2014 | EuVECA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | ESMA’s Technical Advice to the European Commission on the implementing measures of the Regulations on European Social Entrepreneurship Funds and European Venture Capital Funds | |
| 26.09.2014 | EuSEF | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | ESMA’s Technical Advice to the European Commission on the implementing measures of the Regulations on European Social Entrepreneurship Funds and European Venture Capital Funds | |
| 17.09.2014 | CRA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | 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 | |
| 22.08.2014 | MMF | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | Review of the CESR guidelines on a Common Definition of European Money Market Funds | |
| 08.08.2014 | AIFMD | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Guidelines | Guidelines on reporting obligations under Articles 3(3)(d) and 24(1), (2) and (4) of the AIFMD (August 08, 2014 update) | |
| 05.08.2014 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Guidelines and Recommendations regarding the implementation of the CPSS-IOSCO Principles for Financial Market Infrastructures in respect of Central Counterparties | |
| 01.08.2014 | UCITS | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Guidelines | Guidelines for competent authorities and UCITS management companies on ETFs and other UCITS issues | |
| 22.07.2014 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Discussion paper | Calculation of counterparty risk by UCITS for OTC financial derivative transactions subject to clearing obligations | |
| 16.07.2014 | CRA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Consultation paper on periodic information to be submitted to ESMA by Credit Rating Agencies | |
| 15.07.2014 | Market Abuse | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Draft technical standards on the Market Abuse Regulation | |
| 15.07.2014 | Market Abuse | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | ESMA’s draft technical advice on possible delegated acts concerning the Market Abuse Regulation | |
| 11.07.2014 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Clearing obligation under EMIR (no. 1) IRS | |
| 11.07.2014 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Clearing obligation under EMIR (no. 2) CDS | |
| 11.07.2014 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Press Release | ESMA defines central clearing of interest rate and credit default swaps | |
| 22.05.2014 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Discussion paper | Discussion Paper on MiFID II/MiFIR | |
| 22.05.2014 | MiFID II | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Consultation Paper on MiFID II/MiFIR | |
| 24.03.2014 | UCITS | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Final Report on the revision of the provisions on diversification of collateral in ESMA’s Guidelines on ETFs and other UCITS issues | |
| 21.03.2014 | Transparency Directive | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Draft Regulatory Technical Standards on major shareholdings and indicative list of financial instruments subject to notification requirements under the revised Transparency Directive | |
| 20.03.2014 | CSDs | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Draft Technical Standards for the Regulation on improving securities settlement in the European Union and on central securities depositories (CSD) | |
| 11.03.2014 | CRA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Press Release | ESMA sees improved securities market conditions, although risks remain elevated | |
| 20.02.2014 | AIFMD | European Securities and Markets Authority - formerly Committee of European Securities Regulators | MOU | AIFMD MoUs signed by the EU authorities (February 20,2014-updated) | |
| 11.02.2014 | CRA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Consultation Paper on CRA 3 implementation | |
| 11.02.2014 | CRA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Consultation Paper on CRA3 implementation | |
| 27.01.2014 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Advice | Technical advice on third country regulatory equivalence under EMIR – Japan (Supplement to the Final Report of September 2013) | |
| 06.01.2014 | MiFID I | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Draft technical standards under Article 10a(8) of MiFID on the assessment of acquisitions and increases in qualifying holdings in investment firms | |
| 20.12.2013 | UCITS | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Revision of the provisions on diversification of collateral in ESMA’s guidelines on ETFs and other UCITS issues | |
| 19.12.2013 | UCITS | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Risk Measurement and Calculation of Global exposure and Counterparty Risk for UCITS | |
| 16.12.2013 | CRA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Reference Document | CRAs’ Market share calculation according to Article 8d of the CRA Regulation | |
| 02.12.2013 | CRA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Report | Sovereign ratings investigation - ESMA's assessment of governance, conflicts of interest, resourcing adequacy and confidentiality controls | |
| 02.12.2013 | CRA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | ESMA’s assessment of governance, conflicts of interest, resourcing adequacy and confidentiality controls | |
| 28.11.2013 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Press Release | ESMA registers ICE TVEL and CME TR as trade repositories | |
| 21.11.2013 | CRA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Advice | Technical advice on the feasibility of a network of small and medium-sized CRAs | |
| 19.11.2013 | AIFMD | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Other | AIFMD reporting - Annex 2- Tables 1-7 | |
| 18.11.2013 | AIFMD | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Other | Tables 8-9-10 of annex 2 of ESMA guidelines on reporting (revised) | |
| 18.11.2013 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Draft technical standards under EMIR on contracts with a direct, substantial and foreseeable effect within the Union and non-evasion | |
| 14.11.2013 | Market Abuse | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | ESMA’s policy orientations on possible implementing measures under the Market Abuse Regulation | |
| 07.11.2013 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Press Release | ESMA registers DDRL, KDPW, Regis-TR, and UnaVista as trade repositories | |
| 18.10.2013 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | ESMA’s Technical Advice to the Commission on procedural rules to impose fines on Trade | |
| 03.10.2013 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Guidelines and Recommendations | Guidelines and Recommendations regarding written agreements between members of CCP colleges | |
| 02.10.2013 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Advice | Technical advice on third country regulatory equivalence under EMIR - Singapore (TRs supplement) | |
| 02.10.2013 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Advice | Technical advice on third country regulatory equivalence under EMIR – Switzerland (supplement) | |
| 02.10.2013 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Advice | Technical advice on third country regulatory equivalence under EMIR – Canada | |
| 02.10.2013 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Advice | Technical advice on third country regulatory equivalence under EMIR – South Korea (CCPs) | |
| 02.10.2013 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Advice | Technical advice on third country regulatory equivalence under EMIR – Hong Kong (OTC and TR Supplement) | |
| 02.10.2013 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Advice | Technical advice on third country regulatory equivalence under EMIR – India | |
| 02.10.2013 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Advice | Technical advice on third country regulatory equivalence under EMIR- Australia OTC and TR (Supplement) | |
| 01.10.2013 | AIFMD | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Other | Consolidated AIFMD reporting template | |
| 01.10.2013 | AIFMD | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | Collection of information for the effective monitoring of systemic risk under 24(5), first sub-paragraphe, of the AIFMD | |
| 03.09.2013 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Advice | Technical advice on third country regulatory equivalence under EMIR – Switzerland | |
| 03.09.2013 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Advice | Technical advice on third country regulatory equivalence under EMIR – Singapore | |
| 03.09.2013 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Advice | Technical advice on third country regulatory equivalence under EMIR – Hong Kong | |
| 03.09.2013 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Advice | Technical advice on third country regulatory equivalence under EMIR – Australia | |
| 03.09.2013 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Advice | Technical advice on third country regulatory equivalence under EMIR – Japan | |
| 03.09.2013 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Advice | Technical advice on third country regulatory equivalence under EMIR – US | |
| 29.08.2013 | CRA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Discussion paper | Discussion Paper on CRA3 Implementation | |
| 20.08.2013 | AIFMD | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | Draft regulatory technical standards on types of AIFMs under Article 4(4) of Directive 2011/61/EU | |
| 13.08.2013 | AIFMD | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Guidelines and Recommendations | Guidelines on key concepts of the AIFMD | |
| 08.08.2013 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Draft implementing technical standards amending Commission Implementing Regulation (EU) No 1247/2012 laying down implementing technical standards with regard to the format and frequency of trade reports to trade repositories under regulation (EU) 648/2012 | |
| 01.08.2013 | AIFMD | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | Practical arrangements for the late transposition of the AIFMD | |
| 30.07.2013 | CRA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Guidelines | Guidelines and Recommendations on the Scope of the CRA Regulation | |
| 17.07.2013 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Draft Regulatory Technical Standards on contracts having a direct, substantial and foreseeable effect within the Union and non-evasion of provisions of EMIR | |
| 12.07.2013 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | The Clearing Obligation under EMIR | |
| 12.07.2013 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Template for the Responses to the Discussion Paper on the Clearing Obligation under EMIR | |
| 10.07.2013 | CRA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Discussion paper | Discussion paper on CRA3 Implementation | |
| 01.07.2013 | Market Abuse | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Supervisory Practices under MAD - Peer review report and Good Practices | |
| 01.07.2013 | Market Abuse | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Supervisory Practices under MAD - Mapping Report | |
| 17.06.2013 | CRA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Guidelines and Recommendations | Guidelines and Recommendations on the Scope of the CRA Regulation | |
| 17.06.2013 | CRA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Press Release | ESMA clarifies boundary of CRA Regulation | |
| 11.06.2013 | MiFID I | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Guidelines on remuneration policies and practices (MiFID) | |
| 10.06.2013 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Guidelines and Recommendations | Guidelines and Recommendations for establishing consistent, efficient and effective assessments of interoperability arrangements | |
| 04.06.2013 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Guidelines and Recommendations | Guidelines and Recommendations regarding written agreements between members of CCP colleges | |
| 31.05.2013 | CRA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Advice | Technical advice on CRA regulatory equivalence – on Argentina, Brazil, Mexico, Hong Kong and Singapore. | |
| 24.05.2013 | AIFMD | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Guidelines on reporting obligations under Article 3 and Article 24 of the AIFMD | |
| 24.05.2013 | AIFMD | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Guidelines on key concepts of the AIFMD | |
| 02.04.2013 | AIFMD | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Draft regulatory technical standards on types of AIFMs | |
| 11.02.2013 | AIFMD | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Guidelines on sound remuneration policies under the AIFMD | |
| 21.12.2012 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Report | Report to the European Parliament, the Council and the Commission on the budgetary implications of Regulation (EU) No 648/2012 on OTC derivatives, central counterparties and trade repositories (EMIR) | |
| 20.12.2012 | CRA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Guidelines and recommendations on the scope of the CRA Regulation | |
| 19.12.2012 | MiFID I | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Supervisory Briefing | MiFID supervisory briefing - Suitability | |
| 19.12.2012 | MiFID I | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Supervisory Briefing | MiFID Supervisory Briefing - Appropriateness and execution-only | |
| 18.12.2012 | UCITS | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Guidelines | Guidelines on ETFs and other UCITS issues | |
| 20.11.2012 | UCITS | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Opinion | Opinion on Article 50(2)(a) of Directive 2009/65/EC (UCITS) | |
| 09.07.2012 | UCITS | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Notification of UCITS and exchange of information between competent authorities | |
| 09.07.2012 | UCITS | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | Risk Measurement and Calculation of Global Exposure and Counterparty Risk for UCITS | |
| 06.07.2012 | MiFID I | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Guidelines | Guidelines on certain aspects of the MiFID suitability requirements | |
| 06.07.2012 | MiFID I | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Guidelines | Guidelines on certain aspects of the MiFID compliance function requirements | |
| 25.06.2012 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Draft Technical Standards for the Regulation on OTC Derivatives, CCPs and Trade Repositories | |
| 18.04.2012 | CRA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Advice | Technical advice on CRA regulatory equivalence - US, Canada and Australia | |
| 28.03.2012 | UCITS | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Guidelines | Guidelines on risk measurement and the calculation of global exposure for certain types of structured UCITS | |
| 15.03.2012 | CRA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Press Release | ESMA allows EU-registered CRAs to endorse credit ratings issued in the US, Canada, Hong Kong and Singapore | |
| 20.02.2012 | MMF | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Questions and Answers | A Common Definition of European Money Market Funds | |
| 16.02.2012 | EMIR | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | Draft Technical Standards for the Regulation on OTC Derivatives, CCPs and Trade Repositories | |
| 22.12.2011 | CRA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | Draft RTS on the assessment of compliance of credit rating methodologies with CRA Regulation | |
| 22.12.2011 | CRA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Press Release | ESMA extends transitional period for use of non-EU credit ratings, Australian CRA regime endorsed | |
| 16.11.2011 | AIFMD | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Final Report | ESMA's Technical Advice to the European Commission on possible implementing measures of the Alternative Investment Fund Managers Directive | |
| 23.08.2011 | AIFMD | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | 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 | |
| 18.05.2011 | CRA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Guidelines | Guidelines on the application of the endorsement regime under Article 4 (3) of the Credit Rating Agencies Regulation No 1060/2009 | |
| 14.04.2011 | UCITS | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Guidelines | Guidelines to competent authorities and UCITS management companies on risk measurement and the calculation of global exposure for certain types of structured UCITS | |
| 14.04.2011 | CRA | European Securities and Markets Authority - formerly Committee of European Securities Regulators | Consultation Paper | ESMA´s Technical Advice to the Commission on Fees for CRA Supervision | |
| 12.12.2018 | EMIR | Joint Committee of the European Supervisory Authorities | Final Report | Final Draft Regulatory Technical Standards - amending Delegated Regulation (EU) 2016/2251 on risk-mitigation techniques for OTC derivative contracts not cleared by a central counterparty (CCP) under Article 11(15) of Regulation (EU) No 648/2012 in the context of simple, transparent and standardised (STS) securitisations under Regulation (EU) 2017/2402 | |
| 04.05.2018 | EMIR | Joint Committee of the European Supervisory Authorities | Consultation Paper | Consultation on amendments to the EMIR Clearing Obligation under the Securitisation Regulation | |
| 20.11.2017 | PRIIPS | Joint Committee of the European Supervisory Authorities | Questions and Answers | Questions and answers (Q&A) on the PRIIPs KID | |
| 16.08.2017 | PRIIPS | Joint Committee of the European Supervisory Authorities | Reference Document | PRIIPs – Flow diagram for the risk and reward calculations in the PRIIPs KID | |
| 28.07.2017 | PRIIPS | Joint Committee of the European Supervisory Authorities | Advice | Joint Technical Advice on the procedures used to establish whether a PRIIP targets specific environmental or social objectives pursuant to Article 8 (4) of Regulation (EU) No 1286/2014 on key information documents (KID) for packaged retail and insurance-based investment products (PRIIPs) | |
| 26.06.2017 | AML | Joint Committee of the European Supervisory Authorities | Guidelines | Joint Guidelines under Articles 17 and 18(4) of Directive (EU) 2015/849 on simplified and enhanced customer due diligence and the factors credit and financial institutions should consider when assessing the money laundering and terrorist financing risk associated with individual business relationships and occasional transactions | |
| 23.02.2017 | EMIR | Joint Committee of the European Supervisory Authorities | Communication | Statement on Variation margin exchange under the EMIR RTS on OTC derivatives | |
| 20.02.2017 | AML | Joint Committee of the European Supervisory Authorities | Opinion | Joint opinion on the risks of money laundering and terrorist financing affecting the Union’s financial sector | |
| 10.02.2017 | PRIIPS | Joint Committee of the European Supervisory Authorities | Consultation Paper | Joint Consultation Paper on PRIIPs with environmental or social objectives | |
| 31.03.2016 | PRIIPS | Joint Committee of the European Supervisory Authorities | Final Report | Final draft regulatory technical standards with regard to presentation, content, review and provision of the key information document, including the methodologies underpinning the risk, reward and costs information in accordance with Regulation (EU) No 1286/2014 of the European Parliament and of the Council | |
| 08.03.2016 | EMIR | Joint Committee of the European Supervisory Authorities | Final Report | Final Draft Regulatory Technical Standards on risk-mitigation techniques for OTC-derivative contracts not cleared by a CCP under Article 11(15) of Regulation (EU) No 648/2012 | |
| 11.11.2015 | PRIIPS | Joint Committee of the European Supervisory Authorities | Consultation Paper | Draft regulatory technical standards with regard to presentation, content, review and provision of the key information document, including the methodologies underpinning the risk, reward and costs information in accordance with Regulation (EU) No 1286/2014 of the European Parliament and of the Council | |
| 23.06.2015 | PRIIPS | Joint Committee of the European Supervisory Authorities | Technical Discussion Paper | Technical Discussion Paper on Risk, Performance Scenarios and Cost Disclosures In Key Information Documents for Packaged Retail and Insurance-based Investment Products (PRIIPs) | |
| 10.06.2015 | EMIR | Joint Committee of the European Supervisory Authorities | Consultation Paper | Second Joint Consultation on draft RTS on risk-mitigation techniques for OTC-derivative contracts not cleared by a CCP | |
| 12.05.2015 | Securitisation | Joint Committee of the European Supervisory Authorities | Final Report | Joint-committee Report on Securitisation | |
| 05.05.2015 | EMIR | Joint Committee of the European Supervisory Authorities | Press Release | ESAs - main risks to EU financial market stability have intensified | |
| 23.12.2014 | CRA | Joint Committee of the European Supervisory Authorities | Discussion paper | The Use of Credit Ratings by Financial Intermediaries Article 5(a) of the CRA Regulation | |
| 17.11.2014 | PRIIPS | Joint Committee of the European Supervisory Authorities | Discussion paper | Discussion Paper on Key Information Documents for Packaged Retail and Insurance-based Investment Products (PRIIPs) | |
| 14.04.2014 | EMIR | Joint Committee of the European Supervisory Authorities | Consultation Paper | Consultation paper on Draft regulatory technical standards on risk-mitigation techniques for OTC-derivative contracts not cleared by a CCP under Article 11(15) of Regulation (EU) No 648/2012 | |
| 06.02.2014 | CRA | Joint Committee of the European Supervisory Authorities | Final Report | Final report on mechanistic references to credit ratings in the ESAs’ guidelines and recommendations | |
| 06.02.2014 | CRA | Joint Committee of the European Supervisory Authorities | Final Report | Mechanistic references to credit ratings in the ESAs’ guidelines and recommendations | |
| 02.07.2018 | CSSF - Fees | Luxembourg Legislator | Grand-Ducal Regulation | Grand-ducal Regulation of 2 July 2018 Grand-ducal Regulation of 21 December 2017 relating to the fees to be levied by the CSSF (FR Only) | |
| 08.06.2018 | SFTR | Luxembourg Legislator | Law | Law implementing the European Securities Financing Transactions Regulation (SFTR) | |
| 31.05.2018 | MiFID II | Luxembourg Legislator | Grand-Ducal Regulation | Grand-ducal Regulation of 30 May 2018 (only in French) on the protection of financial instruments and funds belonging to clients, the product governance obligations and the rules applicable to the provision or reception of fees, commissions or any monetary or non-monetary benefits | |
| 31.05.2018 | MiFID II | Luxembourg Legislator | Law | Law of 30 May 2018 (only in French) on markets in financial instruments | |
| 19.04.2018 | Benchmarks | Luxembourg Legislator | Law | Law of 17 April 2018 implementing the Benchmarks Regulation 2016/1011 (French only) | |
| 17.04.2018 | PRIIPS | Luxembourg Legislator | Law | Law of 17 April 2018 concerning the implementation of Regulation (UE) n° 1286/2014 of the European Parliament and the Council of 26 November 2014 on key information documents for packaged retail and insurance-based investment products and concerning the modification of the modified law of 17 December 2010 concerning undertakings for collective investment | |
| 13.03.2018 | RAIF | Luxembourg Legislator | Law | Law of 23 July 2016 on Reserved Alternative Investment Funds ("RAIF"). | |
| 27.02.2018 | UCI | Luxembourg Legislator | Law | Law of 27 February 2018 implementing Regulation (EU) 2015/751 of the European Parliament and the European Council amending i.a. the Law of 17 December 2010 on the depositary regime of UCI "Part II" funds | |
| 27.02.2018 | UCITS | Luxembourg Legislator | Law | Law of 27 February 2018 implementing Regulation (EU) 2015/751 of the European Parliament and the European Council amending i.a. the Law of 17 December 2010 on the depositary regime of UCI "Part II" funds | |
| 21.12.2017 | Securitisation | Luxembourg Legislator | Grand-Ducal Regulation | Grand-ducal Regulation of 21 December 2017 | |
| 21.12.2017 | CSSF - Fees | Luxembourg Legislator | Grand-Ducal Regulation | Grand-ducal Regulation of 21 December 2017 relating to the fees to be levied by the CSSF | |
| 03.07.2017 | MiFID II | Luxembourg Legislator | Law | Draft bill for the transposition of Directive 2014/65/UE of the European Parliament and the Council of 15 May 2014 on markets in financial instruments and amending Directive 2002/92/EC and Directive 2011/61/EU (MiFID II) (FR only) | |
| 23.12.2016 | Market Abuse | Luxembourg Legislator | Law | Law of 23 Decembre 2016 on Market Abuse (French only) | |
| 23.12.2016 | Transparency Directive | Luxembourg Legislator | Law | Law of 11 January 2008 on transparency requirements in relation to information about issuers whose securities are admitted to trading on a regulated market and transposing Directive 2004/109/EC of the European Parliament and of the Council of 15 December 2004 on the harmonisation of transparency requirements in relation to information about issuers whose securities are admitted to trading on a regulated market and amending Directive 2001/34/EC (being updated) | |
| 29.07.2016 | UCI | Luxembourg Legislator | Law | Draft of the law i.a. amending the Part II funds depositary regime "Projet de loi portant mise en oeuvre du règlement (UE) 2015/751 du Parlement européen et du Conseil du 29 avril 2015 relatif aux commissions d'interchange pour les opérations de paiement liées à une carte, et portant modification" (FR only) | |
| 27.05.2016 | Securitisation | Luxembourg Legislator | Law | Law of 22 March 2004 on securitisation and amending (coordinated version) | |
| 17.05.2016 | EMIR | Luxembourg Legislator | Law | Loi du 15 mars 2016 relative aux produits dérivés de gré à gré, aux contreparties centrales et aux référentiels centraux et portant transposition (FR only) | |
| 12.05.2016 | UCITS | Luxembourg Legislator | Law | Law of 10 May 2016 transposing Directive 2014/91/EC ("UCITS V") into Luxembourg Law (FR only) | |
| 10.05.2016 | UCITS | Luxembourg Legislator | Law | Law of 17 December 2010 relating to undertakings for collective investment, as amended (FR only) (consolidated) | |
| 10.05.2016 | Transparency Directive | Luxembourg Legislator | Grand-Ducal Regulation | Grand-ducal Regulation of 11 January 2008 relating to the transparency requirements for issuers of securities, transposing Directive 2007/14/EC of the European Commission of 8 March 2007 laying down detailed rules for the implementation of certain provisions of Directive 2004/109/EC on the harmonisation of transparency requirements in relation to information about issuers whose securities are admitted to trading on a regulated market | |
| 18.12.2015 | Securitisation | Luxembourg Legislator | Law | Law of 18 December 2015 amending the law of 22 march 2004 on securitisation (French only) | |
| 09.12.2015 | Solvency II | Luxembourg Legislator | Law | Law on the insurance sector | |
| 14.08.2014 | Securitisation | Luxembourg Legislator | Law | Loi du 28 juillet 2014 relative à l'immobilisation des actions et parts au porteur et à la tenue du registre des actions nominatives et du registre des actions au porteur et portant modification 1) de la loi modifiée du 10 août 1915 concernant les sociétés commerciales et 2) de la loi modifiée du 5 août 2005 sur les contrats de garantie financière (FR only) | |
| 28.07.2014 | UCI | Luxembourg Legislator | Law | Law of 28 July 2014 regarding immobilisation of bearer shares and units and the keeping of the register of registered shares and the register of bearer shares and amending 1) the law of 10 August 1915 on commercial companies, as amended, and 2) the law of 5 August 2005 on financial collateral arrangements, as amended | |
| 28.07.2014 | UCITS | Luxembourg Legislator | Law | Law of 28 July 2014 regarding immobilisation of bearer shares and units and the keeping of the register of registered shares and the register of bearer shares and amending 1) the law of 10 August 1915 on commercial companies, as amended, and 2) the law of 5 August 2005 on financial collateral arrangements, as amended | |
| 28.07.2014 | SICAR | Luxembourg Legislator | Law | Law of 28 July 2014 regarding immobilisation of bearer shares and units and the keeping of the register of registered shares and the register of bearer shares and amending 1) the law of 10 August 1915 on commercial companies, as amended, and 2) the law of 5 August 2005 on financial collateral arrangements, as amended | |
| 28.07.2014 | SIF | Luxembourg Legislator | Law | Law of 28 July 2014 regarding immobilisation of bearer shares and units and the keeping of the register of registered shares and the register of bearer shares and amending 1) the law of 10 August 1915 on commercial companies, as amended, and 2) the law of 5 August 2005 on financial collateral arrangements, as amended | |
| 12.10.2013 | AIFMD | Luxembourg Legislator | Law | Law of 12 July 2013 on alternative investment fund managers | |
| 28.05.2013 | CRA | Luxembourg Legislator | Grand-Ducal Regulation | Grand Ducal Regulation 28 May 2013 repealing the Grand Ducal Regulation of 27 May 2010 on Credit Rating Agencies and transposing Article 22 of Regulation (EC) nº 1060/2009 of the European parliament and Council of 16 September 2009 on Credit Rating Agencies (FR only) | |
| 05.07.2012 | Transparency Directive | Luxembourg Legislator | Law | Law of 3 July 2012 Transposing Directive 2010/73/EU of the European Parliament and of the Council of 24 November 2010 amending Directives 2003/71/EC on the prospectus to be published when securities are offered to the public or admitted to trading and 2004/109/EC on the harmonisation of transparency requirements in relation to information about issuers whose securities are admitted to trading on a regulated market; - amending the Law of 10 July 2005 on prospectuses for securities - amending the Law of 11 January 2008 on transparency requirements in relation to information about issuers whose securities are admitted to trading on a regulated market (only in French) | |
| 28.10.2011 | CRA | Luxembourg Legislator | Law | Law of 28 October 2011 implementing Regulation (EC) No 1060/2009 of the European Parliament and of the Council of 16 September 2009 on credit rating agencies | |
| 17.12.2010 | UCI | Luxembourg Legislator | Law | Law of 17 December 2010 relating to undertakings for collective investment, as amended | |
| 29.10.2010 | AML | Luxembourg Legislator | Grand-Ducal Regulation | Grand-ducal regulation of 29 October 2010 enforcing the law of 27 October 2010 | |
| 27.10.2010 | AML | Luxembourg Legislator | Law | Law of 27 October 2010 on combat against money laundering and terrorist financing | |
| 27.05.2010 | CRA | Luxembourg Legislator | Grand-Ducal Regulation | Grand-ducal regulation of 27 May 2010 relating to credit rating agencies and transposing Article 22 of Regulation (EC) No 1060/2009 of the European Parliament and of the Council of 16 September 2009 on credit rating agencies (repealed) | |
| 17.07.2008 | AML | Luxembourg Legislator | Law | Law of 17 July 2008 enacting Directive 2005/60/EC and Commission Directive 2006/70/EC (FR only) | |
| 03.07.2008 | Transparency Directive | Luxembourg Legislator | Grand-Ducal Regulation | Grand-ducal regulation of 3 July 2008 on the official appointment of mechanisms for the central storage of regulated information within the meaning of the law of 11 January 2008 on transparency requirements for issuers of securities | |
| 08.02.2008 | UCITS | Luxembourg Legislator | Grand-Ducal Regulation | Grand-Ducal Regulation of 8 February 2008 relating to certain definitions of the amended law of 20 December 2002 on undertakings for collective investment | |
| 13.07.2007 | MiFID I | Luxembourg Legislator | Grand-Ducal Regulation | Grand-ducal regulation of 13 July 2007 relating to organisational requirements and rules of conduct in the financial sector and transposing Commission Directive 2006/73/EC of 10 August 2006 implementing Directive 2004/39/EC as regards organisational requirements and operating conditions for investment firms and defined terms for the purposes of that Directive | |
| 13.07.2007 | MiFID I | Luxembourg Legislator | Law | Law of 13 July 2007 on markets in financial instruments as amended | |
| 27.02.2007 | SIF | Luxembourg Legislator | Grand-Ducal Regulation | Grand-Ducal regulation of 27 February 2007 determining the conditions and criteria for the exemption from subscription tax referred to in Article 68 of the law of 13 February 2007 relating to specialised investment funds | |
| 13.02.2007 | SIF | Luxembourg Legislator | Law | Law of 13 February 2007 relating to specialised investment funds, as amended | |
| 09.05.2006 | Market Abuse | Luxembourg Legislator | Law | Law of 9 May 2006 on market abuse, as amended | |
| 12.11.2004 | AML | Luxembourg Legislator | Law | Law of 12 November 2004 on the fight against money laundering and terrorist financing | |
| 15.06.2004 | SICAR | Luxembourg Legislator | Law | Law of 15 June 2004 relating to the investment company in risk capital (SICAR), as amended | |
| 14.04.2003 | UCI | Luxembourg Legislator | Grand-Ducal Regulation | Grand-ducal regulation of 14 April 2003 on conditions and criteria for the application of the subscription tax | |
| 11.07.1997 | Market Abuse | Luxembourg Legislator | Law | Law of 29 June 1997 approving the Convention on Insider Trading opened for signature in Strasbourg on 20 April 1989 and the Protocol to the Convention on Insider Trading opened for signature in Strasbourg on 11 September 1989 | |
