PublicationCategoryIssuerType of DocumentDocument NameDownload
02.07.2018CSSF - FeesLuxembourg LegislatorGrand-Ducal RegulationGrand-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)
08.06.2018SFTRLuxembourg LegislatorLawLaw implementing the European Securities Financing Transactions Regulation (SFTR)
31.05.2018MiFID IILuxembourg LegislatorGrand-Ducal RegulationGrand-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
31.05.2018MiFID IILuxembourg LegislatorLawLaw of 30 May 2018 (only in French) on markets in financial instruments
19.04.2018BenchmarksLuxembourg LegislatorLawLaw of 17 April 2018 implementing the Benchmarks Regulation 2016/1011 (French only)
17.04.2018PRIIPSLuxembourg LegislatorLawLaw 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
13.03.2018RAIFLuxembourg LegislatorLawLaw of 23 July 2016 on Reserved Alternative Investment Funds ("RAIF").
27.02.2018UCILuxembourg LegislatorLawLaw 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
27.02.2018UCITSLuxembourg LegislatorLawLaw 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
21.12.2017SecuritisationLuxembourg LegislatorGrand-Ducal RegulationGrand-ducal Regulation of 21 December 2017
21.12.2017CSSF - FeesLuxembourg LegislatorGrand-Ducal RegulationGrand-ducal Regulation of 21 December 2017 relating to the fees to be levied by the CSSF
03.07.2017MiFID IILuxembourg LegislatorLawDraft 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)
23.12.2016Market AbuseLuxembourg LegislatorLawLaw of 23 Decembre 2016 on Market Abuse (French only)
23.12.2016Transparency DirectiveLuxembourg LegislatorLawLaw 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)
29.07.2016UCILuxembourg LegislatorLawDraft 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)
27.05.2016SecuritisationLuxembourg LegislatorLawLaw of 22 March 2004 on securitisation and amending (coordinated version)
17.05.2016EMIRLuxembourg LegislatorLawLoi du 15 mars 2016 relative aux produits dérivés de gré à gré, aux contreparties centrales et aux référentiels centraux et portant transposition (FR only)
12.05.2016UCITSLuxembourg LegislatorLawLaw of 10 May 2016 transposing Directive 2014/91/EC ("UCITS V") into Luxembourg Law (FR only)
10.05.2016UCITSLuxembourg LegislatorLawLaw of 17 December 2010 relating to undertakings for collective investment, as amended (FR only) (consolidated)
10.05.2016Transparency DirectiveLuxembourg LegislatorGrand-Ducal RegulationGrand-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
18.12.2015SecuritisationLuxembourg LegislatorLawLaw of 18 December 2015 amending the law of 22 march 2004 on securitisation (French only)
09.12.2015Solvency IILuxembourg LegislatorLawLaw on the insurance sector
14.08.2014SecuritisationLuxembourg LegislatorLawLoi 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)
28.07.2014UCILuxembourg LegislatorLawLaw 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
28.07.2014UCITSLuxembourg LegislatorLawLaw 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
28.07.2014SICARLuxembourg LegislatorLawLaw 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
28.07.2014SIFLuxembourg LegislatorLawLaw 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
12.10.2013AIFMDLuxembourg LegislatorLawLaw of 12 July 2013 on alternative investment fund managers
28.05.2013CRALuxembourg LegislatorGrand-Ducal RegulationGrand 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)
05.07.2012Transparency DirectiveLuxembourg LegislatorLawLaw 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)
28.10.2011CRALuxembourg LegislatorLawLaw 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
17.12.2010UCILuxembourg LegislatorLawLaw of 17 December 2010 relating to undertakings for collective investment, as amended
29.10.2010AMLLuxembourg LegislatorGrand-Ducal RegulationGrand-ducal regulation of 29 October 2010 enforcing the law of 27 October 2010
27.10.2010AMLLuxembourg LegislatorLawLaw of 27 October 2010 on combat against money laundering and terrorist financing
27.05.2010CRALuxembourg LegislatorGrand-Ducal RegulationGrand-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)
17.07.2008AMLLuxembourg LegislatorLawLaw of 17 July 2008 enacting Directive 2005/60/EC and Commission Directive 2006/70/EC (FR only)
03.07.2008Transparency DirectiveLuxembourg LegislatorGrand-Ducal RegulationGrand-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
08.02.2008UCITSLuxembourg LegislatorGrand-Ducal RegulationGrand-Ducal Regulation of 8 February 2008 relating to certain definitions of the amended law of 20 December 2002 on undertakings for collective investment
13.07.2007MiFID ILuxembourg LegislatorGrand-Ducal RegulationGrand-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
13.07.2007MiFID ILuxembourg LegislatorLawLaw of 13 July 2007 on markets in financial instruments as amended
27.02.2007SIFLuxembourg LegislatorGrand-Ducal RegulationGrand-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
13.02.2007SIFLuxembourg LegislatorLawLaw of 13 February 2007 relating to specialised investment funds, as amended
09.05.2006Market AbuseLuxembourg LegislatorLawLaw of 9 May 2006 on market abuse, as amended
12.11.2004AMLLuxembourg LegislatorLawLaw of 12 November 2004 on the fight against money laundering and terrorist financing
15.06.2004SICARLuxembourg LegislatorLawLaw of 15 June 2004 relating to the investment company in risk capital (SICAR), as amended
14.04.2003UCILuxembourg LegislatorGrand-Ducal RegulationGrand-ducal regulation of 14 April 2003 on conditions and criteria for the application of the subscription tax
11.07.1997Market AbuseLuxembourg LegislatorLawLaw 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
12.12.2018EMIRJoint Committee of the European Supervisory AuthoritiesFinal ReportFinal 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
04.05.2018EMIRJoint Committee of the European Supervisory AuthoritiesConsultation PaperConsultation on amendments to the EMIR Clearing Obligation under the Securitisation Regulation
20.11.2017PRIIPSJoint Committee of the European Supervisory AuthoritiesQuestions and AnswersQuestions and answers (Q&A) on the PRIIPs KID
16.08.2017PRIIPSJoint Committee of the European Supervisory AuthoritiesReference DocumentPRIIPs – Flow diagram for the risk and reward calculations in the PRIIPs KID
28.07.2017PRIIPSJoint Committee of the European Supervisory AuthoritiesAdviceJoint 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)
26.06.2017AMLJoint Committee of the European Supervisory AuthoritiesGuidelinesJoint 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
23.02.2017EMIRJoint Committee of the European Supervisory AuthoritiesCommunicationStatement on Variation margin exchange under the EMIR RTS on OTC derivatives
20.02.2017AMLJoint Committee of the European Supervisory AuthoritiesOpinionJoint opinion on the risks of money laundering and terrorist financing affecting the Union’s financial sector
10.02.2017PRIIPSJoint Committee of the European Supervisory AuthoritiesConsultation PaperJoint Consultation Paper on PRIIPs with environmental or social objectives
31.03.2016PRIIPSJoint Committee of the European Supervisory AuthoritiesFinal ReportFinal 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
08.03.2016EMIRJoint Committee of the European Supervisory AuthoritiesFinal ReportFinal 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
11.11.2015PRIIPSJoint Committee of the European Supervisory AuthoritiesConsultation PaperDraft 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
23.06.2015PRIIPSJoint Committee of the European Supervisory AuthoritiesTechnical Discussion PaperTechnical Discussion Paper on Risk, Performance Scenarios and Cost Disclosures In Key Information Documents for Packaged Retail and Insurance-based Investment Products (PRIIPs)
10.06.2015EMIRJoint Committee of the European Supervisory AuthoritiesConsultation PaperSecond Joint Consultation on draft RTS on risk-mitigation techniques for OTC-derivative contracts not cleared by a CCP
12.05.2015SecuritisationJoint Committee of the European Supervisory AuthoritiesFinal ReportJoint-committee Report on Securitisation
05.05.2015EMIRJoint Committee of the European Supervisory AuthoritiesPress ReleaseESAs - main risks to EU financial market stability have intensified
23.12.2014CRAJoint Committee of the European Supervisory AuthoritiesDiscussion paperThe Use of Credit Ratings by Financial Intermediaries Article 5(a) of the CRA Regulation
17.11.2014PRIIPSJoint Committee of the European Supervisory AuthoritiesDiscussion paperDiscussion Paper on Key Information Documents for Packaged Retail and Insurance-based Investment Products (PRIIPs)
14.04.2014EMIRJoint Committee of the European Supervisory AuthoritiesConsultation PaperConsultation 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
06.02.2014CRAJoint Committee of the European Supervisory AuthoritiesFinal ReportFinal report on mechanistic references to credit ratings in the ESAs’ guidelines and recommendations
06.02.2014CRAJoint Committee of the European Supervisory AuthoritiesFinal ReportMechanistic references to credit ratings in the ESAs’ guidelines and recommendations
04.04.2019UCITSEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportPenalties and measures imposed under the UCITS Directive in 2016 and 2017
16.01.2019Market AbuseEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReportReport to the Commission on the application of accepted market practices
11.01.2019SecuritisationEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOtherStatement on ESMA’s near-term implementation of the Securitisation Regulation
10.01.2019MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReportESMA Annual Statistical Report - Performance and costs of retail investment products in the EU (2019)
08.01.2019SecuritisationEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOtherLetter to EC on regulatory cooperation under the Securitisation Regulation
08.01.2019SecuritisationEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportFinal 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
04.01.2019MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersQuestions and Answers on MiFID II and MiFIR commodity derivatives topics
04.01.2019MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersQuestions and Answers on MiFID II and MiFIR transparency topics
21.12.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsGuidelinesESMA Guidelines on the application of C6 and C7 of Annex 1 of MiFID II
20.12.2018CSDsEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperGuidelines on standardised procedures and messaging protocols used between investment firms and their professional clients under Article 6(2) of CSDR
20.12.2018CSDsEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperGuidelines on Settlement Fails Reporting under Article 7(1) of CSDR
19.12.2018AIFMDEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperConsultation Paper on integrating sustainability risks and factors in the UCITS Directive and AIFMD
19.12.2018UCITSEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperConsultation Paper on integrating sustainability risks and factors in the UCITS Directive and AIFMD
19.12.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperESMA Consultation Paper on integrating sustainability risks and factors in MiFID II
19.12.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperESMA Consultation Paper on integrating sustainability risks and factors in MiFID II
19.12.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOtherESMA 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
19.12.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOtherESMA 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
19.12.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperConsultation Paper on integrating sustainability risks and factors in MiFID II
19.12.2018CRAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperConsultation Paper on guidelines on Disclosure Requirements Applicable to Credit Ratings
18.12.2018SecuritisationEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOtherEuropean Commission letter to ESMA on draft RTS and ITS securitisation disclosures
18.12.2018CRAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersImplementation of the Regulation (EU) No 462/2013 on Credit Rating Agencies
18.12.2018BenchmarksEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersQuestions and Answers on the Benchmarks Regulation (BMR)
14.12.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOtherESMA Notice of ESMA’s Product Intervention Renewal Decision in relation
12.12.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportESMA Final Report - Amendment to Commission Delegated Regulation (EU) 2017/588 (RTS 11)
10.12.2018SecuritisationEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOtherInstructions for providing STS notifications for public securitisations
15.11.2018Market AbuseEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReportESMA Annual report on administrative and criminal sanctions and other
14.11.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersQuestions and Answers on MiFID II and MiFIR market structures topics
13.11.2018MMFEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperDraft guidelines on the reporting to competent authorities under 37 of the MMF Regulation
13.11.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOtherMiFID II Supervisory briefing on suitability
13.11.2018SecuritisationEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsAdviceESMA Final Technical Advice Securitisation Repositories Fees
13.11.2018SecuritisationEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportFinal Report on Securitisation Regulation technical standards on securitisation repository application requirements, operational standards, and access conditions
12.11.2018CSDsEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersQuestions and Answers on the implementation of the CSDR
09.11.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsCall for evidenceESMA Call for Evidence Periodic Auctions for Equity Instruments
09.11.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersQuestions and Answers on ESMA’s temporary product intervention measures on the marketing, distribution or sale
07.11.2018Market AbuseEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReference DocumentESMA List of national competent authorities that have increased the thresholds persuant article 19(9) of MAR
06.11.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsGuidelinesESMA Guidelines on certain aspects of the MiFID II suitability requirements
31.10.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOtherNotice of ESMA’s Product Intervention Renewal Decision in relation to CFDs
15.10.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsNoteNote of ESMA Contact points of national supervisory authorities for communication in the MiFID II framework on supervisory cooperation, authorisation, acquisitions and passporting
04.10.2018AIFMDEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersQuestions and Answers on the application of the AIFMD
02.10.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionESMA Opinion on ancillary activity – market size calculation
28.09.2018Market AbuseEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOtherESMA ComplianceTable regarding MAR Guidelines on delay in the disclosure of inside information
28.09.2018Market AbuseEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOtherESMA Compliance table regarding MAR guidelines for persons receiving market soundings
28.09.2018Market AbuseEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOtherESMA 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
26.09.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsDelegated 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’
26.09.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOtherLetter 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
26.09.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsDelegated 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
24.09.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionESMA Opinion on Position Limits on Phelix Deat Base Power Contract
24.09.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionESMA Opinion on Position Limits on Swiss Power Base Contracts
24.09.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionESMA Opinion on Position Limits on UK Natural Gas Contracts
05.09.2018SecuritisationEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionESMA Opinion on the European Commission’s proposed amendments to SFTR
22.08.2018SecuritisationEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportFinal Report onTechnical standards on disclosure requirements under the Securitisation Regulation
06.08.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersQuestions and Answers on MiFID II Transitional Transparency Calculation
30.07.2018UCITSEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportPeer review on the Guidelines on ETFs and other UCITS issues
24.07.2018MiFID IEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReportESMA Follow-up Report to the Peer Review on MiFID Suitability Requirements
24.07.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReportESMA Follow-up Report to the Peer Review on MiFID Suitability Requirements
23.07.2018UCITSEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersQuestions and Answers on the application of the UCITS Directive
19.07.2018CRAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperGuidelines on the submission of periodic information to ESMA by CRA
18.07.2018CRAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportGuidelines 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
16.07.2018SecuritisationEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportFinal Report Draft RTS and ITS on STS Notification under Securitisation Regulation (EU) N° 2017/2402
16.07.2018SecuritisationEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal Report Final Report Draft RTS on authorisation of firms providing STS verification services under Securitisation Regulation (EU) 2017/2402
12.07.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersQuestions and Answers on MiFID II and MiFIR investor protection topics
12.07.2018MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersQuestions and Answers on MiFID II and MiFIR investor protection topics
12.07.2018MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersQuestions and Answers on ESMA’s temporary product intervention measures
12.07.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersQuestions and Answers on MiFID II and MiFIR transparency topics
12.07.2018MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersQuestions and Answers on MiFID II and MiFIR transparency topics
12.07.2018EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersQuestions and Answers on the implementation of the EMIR
11.07.2018EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperConsultation Paper - Clearing Obligation under EMIR (no.6)
20.06.2018MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOtherESMA statement on LEI requirements under MiFIR
01.06.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersESMA Technical Q&As on product intervention measures on CFDs and binary options
01.06.2018MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersESMA Technical Q&As on product intervention measures on CFDs and binary options
01.06.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReportESMA Product Intervention Analysis - Mesures on Binary Options
01.06.2018MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReportESMA Product Intervention Analysis - Mesures on Binary Options
01.06.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReportESMA Product Intervention Analysis - Measures on Contracts for Differences (CFDs)
01.06.2018MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReportESMA Product Intervention Analysis - Measures on Contracts for Differences (CFDs)
01.06.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsPress ReleaseESMA adopts final product intervention measures on CFDs and binary options
01.06.2018MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsPress ReleaseESMA adopts final product intervention measures on CFDs and binary options
30.05.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOtherStatement of the EBA and ESMA on the treatment of retail holdings of debt financial instruments subject to the Bank Recovery and Resolution Directive
30.05.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsPress ReleaseEBA-ESMA opinion on retail holders of bail-inable instruments
29.05.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersQuestions and Answers on MiFID II and MiFIR market structures topics
29.05.2018MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersQuestions and Answers on MiFID II and MiFIR market structures topics
29.05.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersQuestions and Answers on MiFID II and MiFIR transparency topics
29.05.2018MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersQuestions and Answers on MiFID II and MiFIR transparency topics
28.05.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsGuidelinesGuidelines on certain aspects of the MiFID II suitability requirements
25.05.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersQuestions and Answers on MiFIR data reporting
25.05.2018MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersQuestions and Answers on MiFIR data reporting
25.05.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersQuestions and Answers on MiFID II and MiFIR investor protection topics
25.05.2018MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersQuestions and Answers on MiFID II and MiFIR investor protection topics
11.04.2018Market AbuseEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionESMA Opinion relating to the intended Accepted Market Practice on liquidity contracts notified by the Autorité des marchés financiers
27.03.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersFAQ ESMA’s product intervention measures in relation to CFDs and binary options offered to retail investors
27.03.2018MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersFAQ ESMA’s product intervention measures in relation to CFDs and binary options offered to retail investors
27.03.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReference DocumentAdditional information on the agreed product intervention measures relating to contracts for differences and binary options
27.03.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersQuestions and Answers on MiFID II and MiFIR commodity derivatives topics
27.03.2018MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersQuestions and Answers on MiFID II and MiFIR commodity derivatives topics
26.03.2018MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReference DocumentList of trading venues and CCPs benefiting from a transitional exemption from the access provisions under Article 54(2) of MiFIR
26.03.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReference DocumentList of trading venues benefiting from a transitional exemption from the access provisions under Article 36(5) of MiFIR
26.03.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportFinal report - Amendments to Commission Delegated Regulation (EU) 2017/587 (RTS 1)
23.03.2018Market AbuseEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersQuestions and Answers On the Market Abuse Regulation (MAR) Version 11
23.03.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersQuestions and Answers on MiFID II and MiFIR investor protection and intermediaries topics
23.03.2018MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersQuestions and Answers on MiFID II and MiFIR investor protection and intermediaries topics
23.03.2018SecuritisationEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperConsultation Paper Draft technical standards on the application for registration as a securitisation repository under the Securitisation Regulation
23.03.2018SecuritisationEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperConsultation Report ESMA’s technical advice to the Commission on fees for securitisation Repositories under the Securitisation Regulation
21.03.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsGuidelinesGuidelines on the assessment of the suitability of members of the management body and key function holders
21.03.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsGuidelinesAnnex to the Guidelines on the assessment of the suitability of members of the management body and key function holders
21.03.2018MMFEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsGuidelinesGuidelines on stress tests scenarios under Article 28 of the MMF Regulation
21.03.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionESMA opinion on package orders' trading obligation under MiFID II
14.03.2018SecuritisationEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperConsultation Paper on Draft technical standards on the application for registration as a securitisation repository under the Securitisation Regulation
09.03.2018MMFEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOtherLetter form the EU Commission to ESMA on the implementation of the MMF regulation ("share cancellation")
01.03.2018EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReference DocumentEMIR validation table ESMA
07.02.2018MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersQuestions and Answers on MiFID II and MiFIR transparency topics
06.02.2018Market AbuseEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportDraft Implementing Technical Standards on forms and procedures for cooperation under Article 24 and 25 of Regulation (EU) No 596/2014 on market abuse
05.02.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsGuidelinesGuidelines on MiFID II product governance requirements
19.01.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersFAQs on MiFID II - Transitional Transparency Calculations
18.01.2018EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReference DocumentList of third-country central counterparties recognised to offer services and activities in the Union
18.01.2018EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReference DocumentPublic Register for the Clearing Obligation under EMIR (Latest update 18 January 2018)
18.01.2018EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReference DocumentList of Central Counterparties authorised to offer services and activities in the Union (Last update 18 January 2018)
18.01.2018MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperCall for evidence - Potential product intervention measures on contracts for differences and binary options to retail clients
20.12.2017CRAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReportReport on CRA Market Share Calculation
19.12.2017SecuritisationEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperConsultation Paper on Draft technical standards on content and format of the STS notification under the Securitisation Regulation
19.12.2017SecuritisationEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperConsultation Paper on the Draft technical standards on disclosure requirements, operational standards, and access conditions under the Securitisation Regulation
19.12.2017SecuritisationEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperConsultation Paper on the Draft technical standards on third-party firms providing STS verification services under the Securitisation Regulation
18.12.2017MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersQuestions and answers on MiFIR data reporting
15.12.2017Prospectus IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperDraft regulatory technical standards under the new Prospectus Regulation
15.12.2017MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersQuestions and Answers on MiFID II and MiFIR commodity derivatives topics
15.12.2017MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersQuestions and Answers on MiFID II and MiFIR commodity derivatives topics
17.11.2017CRAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsAdviceTechnical advice on CRA regulatory equivalence – CRA 3 update
17.11.2017CRAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsGuidelinesUpdate of the guidelines on the application of the endorsement regime under Article 4(3) of the Credit Rating Agencies Regulation
17.11.2017EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperESMA’s Guidelines on position calculation under EMIR
13.11.2017MMFEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportFinal Report - Technical advice, draft implementing technical standards and guidelines under the MMF Regulation
09.11.2017MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperAmendments to Commission Delegated Regulation (EU) 2017/587 (RTS 1)
20.10.2017ProspectusEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersQuestions and Answers - Prospectuses (27th updated version – October 2017)
03.10.2017MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersQuestions and Answers on MiFID II and MiFIR market structures topics
29.09.2017BenchmarksEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperConsultation Paper - Draft guidelines on non-significant benchmarks
28.09.2017MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsGuidelinesGuidelines on the management body of market operators and data reporting services providers
28.09.2017MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportFinal Report - Guidelines on the management body of market operators and data reporting service providers
28.09.2017MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportDraft RTS on the trading obligation for derivatives under MiFIR
26.09.2017MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportJoint 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
07.08.2017MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsGuidelinesGuidelines - Transaction reporting, order record keeping and clock synchronisation under MiFID II
20.07.2017UCITSEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionAsset segregation and application of depositary delegation rules to CSDs
20.07.2017AIFMDEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionAsset segregation and application of depositary delegation rules to CSDs
13.07.2017AIFMDEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionOpinion to support supervisory convergence in the area of investment management in the context of the United Kingdom withdrawing from the European Union
13.07.2017UCITSEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionOpinion to support supervisory convergence in the area of investment management in the context of the United Kingdom withdrawing from the European Union
13.07.2017MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperGuidelines on certain aspects of the MiFID II suitability requirements
13.07.2017MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionOpinion to support supervisory convergence in the area of secondary markets in the context of the United Kingdom withdrawing from the European Union
13.07.2017MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionOpinion to support supervisory convergence in the area of investment firms in the context of the United Kingdom withdrawing from the European Union
13.07.2017MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionOpinion to support supervisory convergence in the area of secondary markets in the context of the United Kingdom withdrawing from the European Union
13.07.2017MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionOpinion to support supervisory convergence in the area of investment firms in the context of the United Kingdom withdrawing from the European Union
11.07.2017CSDsEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsGuidelinesCooperation between authorities under Articles 17 and 23 of Regulation (EU) No 909/2014
10.07.2017CSDsEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperGuidelines on Internalised Settlement Reporting under Article 9 of CSDR
10.07.2017EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportDraft technical standards on data to be made publicly available by TRs under Article 81 of EMIR
07.07.2017MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersQuestions and answers on MiFID II and MiFIR commodity derivatives topics
06.07.2017MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionOpinion on ancillary activity – market size calculation
06.07.2017Prospectus IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperDraft technical advice on format and content of the prospectus
06.07.2017Prospectus IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperDraft technical advice on content and format of the EU Growth prospectus
06.07.2017Prospectus IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperDraft technical advice on scrutiny and approval of the prospectus
03.07.2017ProspectusEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReportReport on the EEA prospectus activity in 2016
19.06.2017MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperConsultation Paper on the trading obligation for derivatives under MiFIR
02.06.2017MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportGuidelines on MiFID II product governance requirements
02.06.2017BenchmarksEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsGuidelinesMethodological framework on the selection of supervised entities for mandatory contribution under Article 23(7) BMR
01.06.2017BenchmarksEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportDraft regulatory technical standards on cooperation arrangements with third countries under the Benchmarks Regulation
01.06.2017EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperGuidelines on CCP conflicts of interest management
01.06.2017CSDsEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsGuidelinesGuidelines on the Process for the Calculation of the Indicators to Determine the Substantial Importance of a CSD for a Host Member State
31.05.2017MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionOpinion determining third-country trading venues for the purpose of position limits under MiFID II
31.05.2017EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsPress ReleaseESMA registers Bloomberg Trade Repository Limited as a trade repository
30.05.2017Market AbuseEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportDraft Implementing Technical Standards on forms and procedures for cooperation between competent authorities under Regulation (EU) No 596/2014 on market abuse
30.05.2017Market AbuseEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionCommunication on the launch of reference data submission under Article 4(1) of Regulation (EU) of Regulation (EU) No 596/ on market abuse (MAR)
24.05.2017MMFEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperDraft technical advice, implementing technical standards and guidelines under the MMF Regulation
22.05.2017MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionOpinion on OTC derivatives traded on a trading venue
22.05.2017MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionOTC derivatives traded on a trading venue
25.04.2017Market AbuseEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionPoints for convergence in relation to MAR accepted market practices on liquidity contracts
20.04.2017EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportESMA Technical advice to EC on fees to TRs under SFTR and on certain amendments to fees to TRs under EMIR
20.04.2017SFTREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportESMA Technical advice to EC on fees to TRs under SFTR and on certain amendments to fees to TRs under EMIR
20.04.2017EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportESMA Technical advice to EC on fees to TRs under SFTR and on certain amendments to fees to TRs under EMIR
10.04.2017EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionOpinion on portfolio margining requirements under Article 27 of Commission Delegated Regulation (EU) No 153/2013
06.04.2017MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportGuidelines on the calibration of circuit breakers and the publication and reporting of trading halts under MiFID II
06.04.2017MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsGuidelinesCalibration of circuit breakers and publication of trading halts under MiFID II
06.04.2017CRAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReportA Common Approach to the CRA Regulation’s Provisions for Encouraging the use of Smaller CRAs
04.04.2017CRAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperUpdate of the guidelines on the application of the endorsement regime under Article 4(3) of the Credit Rating Agencies Regulation
31.03.2017MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersQuestions and Answers relating to the provision of CFDs and other speculative products to retail investors under MiFID
31.03.2017MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersQuestions and Answers relating to the provision of CFDs and other speculative products to retail investors under MiFID
31.03.2017MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportDraft RTS specifying the scope of the consolidated tape for non-equity financial instruments
31.03.2017EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportFinal report on technical standards under SFTR and certain amendments to EMIR
31.03.2017SFTREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportTechnical standards under SFTR and certain amendments to EMIR
31.03.2017EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportTechnical standards under SFTR and certain amendments to EMIR
30.03.2017BenchmarksEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportDraft technical standards under the Benchmarks Regulation
23.03.2017CRAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsGuidelinesGuidelines on the validation and review of Credit Rating Agencies’ methodologies
23.03.2017CSDsEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportGuidelines on participant default rules and procedures under Regulation (EU) No 909/2014
09.02.2017MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportITS 4: Draft implementing technical standards on position reporting (Article 58(5) of MiFID II)
03.02.2017Transparency DirectiveEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReference DocumentPractical Guide National rules on notifications of major holdings under the Transparency Directive
30.01.2017UCITSEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionOpinion on share classes of UCITS
27.01.2017EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOtherLetter regarding EMIR Review and ESMA sanctioning powers under EMIR and CRAR
27.01.2017MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOtherLetter regarding EMIR Review and ESMA sanctioning powers under EMIR and CRAR
26.01.2017EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReference DocumentList 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)
17.01.2017Market AbuseEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsGuidelinesMAR Guidelines on commodity derivatives
12.01.2017MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReference DocumentMiFID II technical data reporting requirements
12.01.2017MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReference DocumentMiFID II technical data reporting requirements
12.01.2017MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionImpact of the exclusion of fund management companies from the scope of the MiFIR Intervention Powers
11.01.2017MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReportFollow-up Report to the Peer Review on Best Execution
11.01.2017EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReportEBA 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)
22.12.2016EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReference DocumentPeer Review under EMIR Art. 21 - Supervisory activities on CCPs’ Margin and Collateral requirements
19.12.2016EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperESMA’s technical advice to the Commission on fees for TRs under SFTR and on certain amendments of for fees under EMIR certain amendments
19.12.2016SFTREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperESMA’s technical advice to the Commission on fees for TRs under SFTR and on certain amendments of for fees under EMIR
19.12.2016EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperESMA’s technical advice to the Commission on fees for TRs under SFTR and on certain amendments of for fees under EMIR
15.12.2016EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperDraft technical standards on data to be made publicly available by TRs under Article 81 of EMIR
15.11.2016CRAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsGuidelinesGuidelines on the validation and review of Credit Rating Agencies’ methodologies
15.11.2016EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionCommon indicators for new products and services under Article 15 and for significant changes under Article 49 of EMIR
14.11.2016EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportFinal report on the clearing obligation for financial counterparties with a limited volume of activity
10.11.2016MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperDraft RTS on package orders for which there is a liquid market
10.11.2016MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperDraft RTS on package orders for which there is a liquid market
10.11.2016BenchmarksEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportTechnical advice under the Benchmarks Regulation
10.11.2016Market AbuseEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsGuidelinesPersons receiving market soundings
31.10.2016MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperAnnex 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)
28.10.2016MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperJoint 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
28.10.2016MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperJoint 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
20.10.2016Market AbuseEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsGuidelinesMAR Guidelines- Delay in the disclosure of inside information
20.10.2016MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperConsultation 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
14.10.2016UCITSEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsGuidelinesGuidelines on sound remuneration policies under the UCITS Directive
14.10.2016AIFMDEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsGuidelinesGuidelines on sound remuneration policies under the AIFMD
10.10.2016MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsGuidelinesTransaction reporting, order record keeping and clock synchronisation under MiFID II
06.10.2016MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperGuidelines on the calibration, publication and reporting of trading halts
05.10.2016MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperGuidelines on specific notions under MiFID II related to the management body of market operators and data reporting services providers
05.10.2016MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperDraft guidelines on MiFID II product governance requirements
03.10.2016MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperRTS specifying the scope of the consolidated tape for non-equity financial instruments
30.09.2016Market AbuseEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportGuidelines on MAR - information relating to commodity derivatives markets or related spot markets for the purpose of the definition of inside information on commodity derivatives
30.09.2016SFTREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReference DocumentSFTR tables (excel)
30.09.2016SFTREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperDraft RTS and ITS under SFTR and amendments to related EMIR RTS
30.09.2016EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperDraft RTS and ITS under SFTR and amendments to related EMIR RTS
30.09.2016SFTREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperConsultation Paper Draft RTS and ITS under SFTR and amendments to related EMIR RTS
29.09.2016BenchmarksEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperDraft technical standards under the Benchmarks Regulation
20.09.2016MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsDiscussion paperThe trading obligation for derivatives under MiFIR
26.07.2016Market AbuseEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportDraft Implementing Technical Standards on sanctions and measures under Regulation (EU) No 596/2014 on market abuse
18.07.2016AIFMDEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsAdviceAdvice to the European Parliament, the Council and the Commission on the application of the AIFMD passport to non-EU AIFMs and AIFs
15.07.2016AIFMDEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperCall for evidence on asset segregation and custody services
15.07.2016UCITSEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperCall for evidence on asset segregation and custody services
13.07.2016Market AbuseEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportGuidelines on the Market Abuse Regulation - market soundings and delay of disclosure of inside information
13.07.2016EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperConsultation paper on the clearing obligation for financial counterparties with a limited volume of activity
17.06.2016Market AbuseEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionDraft Implementing Technical Standards on the technical means for appropriate public disclosure of inside information and for delaying the public disclosure of inside information
08.06.2016ELTIFEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportDraft regulatory technical standards under the ELTIF Regulation
06.06.2016EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsMOUMemorandum 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
31.05.2016CSDsEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperGuidelines on participant default rules and procedures under CSDR
31.05.2016EuSEFEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersApplication of the EuSEF and EuVECA Regulations
31.05.2016EuVECAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersApplication of the EuSEF and EuVECA Regulations
30.05.2016MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionDraft Regulatory Technical Standard on criteria for establishing when an activity is to be considered ancillary to the main business
27.05.2016BenchmarksEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperDraft technical advice under the Benchmarks Regulation
26.05.2016EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportDraft regulatory technical standards on indirect clearing arrangements under EMIR and MiFIR
26.05.2016MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportDraft regulatory technical standards on indirect clearing arrangements under EMIR and MiFIR
25.05.2016Market AbuseEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsCommunicationReference data submission under Article 4(1) of Regulation No 596/2014 on market abuse (MAR)
02.05.2016MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionOpinion (annex) Amended draft Regulatory Technical Standards on transparency requirements in respect of bonds, structured finance products, emission allowances and derivatives under MiFIR
02.05.2016MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionOpinion on draft Regulatory Technical Standards on transparency requirements in respect of bonds, structured finance products, emission allowances and derivatives under MiFIR
02.05.2016MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionOpinion (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
02.05.2016MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionOpinion 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
07.04.2016MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportMiFID Suitability Requirements - Peer Review Report
06.04.2016UCITSEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsDiscussion paperDiscussion paper on UCITS share classes
05.04.2016EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportReview of Article 26 of RTS No 153/2013 with respect to MPOR for client accounts
05.04.2016EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportDraft technical standards on access to data and aggregation and comparison of data across TR under Article 81 of EMIR
01.04.2016Market AbuseEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersQuestions and answers on the common operation of the Market Abuse Directive
31.03.2016AIFMDEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportGuidelines on sound remuneration policies under the UCITS Directive and AIFMD
31.03.2016UCITSEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportGuidelines on sound remuneration policies under the UCITS Directive and AIFMD
30.03.2016Market AbuseEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperConsultation paper on MAR Guidelines on information on commodities
23.03.2016EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOtherDecision 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
22.03.2016MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsGuidelinesGuidelines for the assessment of knowledge and competence
11.03.2016SFTREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsDiscussion paperDraft RTS and ITS under SFTR
01.03.2016EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportPossible systemic risk and cost implications of interoperability arrangements
15.02.2016BenchmarksEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsDiscussion paperBenchmarks Regulation
05.02.2016EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReportESMA’s supervision of credit rating agencies and trade repositories
31.01.2016EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsPress ReleaseESMA fines DTCC Derivatives Repository Limited €64,000 for data access failures
28.01.2016Market AbuseEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperConsultation paper- Draft Guidelines on the Market Abuse Regulation
23.12.2015MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperGuidelines on transaction reporting, reference data, order record keeping & clock synchronisation
22.12.2015Market AbuseEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportMAD Supervisory Practices peer review follow-up
11.12.2015MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportDraft implementing technical standards under MiFID II
11.12.2015EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperDraft technical standards on access to data and aggregation and comparison of data across TR under Article 81 of EMIR
26.11.2015MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportGuidelines on complex debt instruments and structured deposits
19.11.2015EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOtherESMA will not exempt the collateralisation of bank guarantees for energy derivatives under EMIR
13.11.2015EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportReview of the Regulatory and Implementing Technical Standards on reporting under Article 9 of EMIR
10.11.2015EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportDraft technical standards on the Clearing Obligation – Interest rate OTC Derivatives in additional currencies
06.11.2015EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReference DocumentNotification of exceeding the clearing threshold (form)
06.11.2015EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReference DocumentNotification of no longer exceeding the clearing threshold (form)
05.11.2015MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperIndirect clearing arrangements under EMIR and MiFIR
05.11.2015EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperIndirect clearing arrangements under EMIR and MiFIR
28.10.2015MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportDraft Regulatory and Implementing Technical Standards MiFID II/MiFIR
22.10.2015Transparency DirectiveEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersQuestions and answers regarding the Transparency Directive (2004/109/EC) - updated October 2015
21.10.2015AMLEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperJoint 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
21.10.2015AMLEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperJoint 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
08.10.2015CSDsEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportImpact 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)
08.10.2015CSDsEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportDraft 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)
08.10.2015CSDsEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportDraft 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)
08.10.2015MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportCost Benefit Analysis – Annex II - Draft Regulatory and Implementing Technical Standards MiFID II/MiFIR
08.10.2015MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportRegulatory technical and implementing standards – Annex I
08.10.2015MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportCost Benefit Analysis – Annex II - Draft Regulatory and Implementing Technical Standards MiFID II/MiFIR
08.10.2015MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportRegulatory technical and implementing standards – Annex I
08.10.2015MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportDraft Regulatory and Implementing Technical Standards MiFID II/MiFIR
02.10.2015EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOtherESMA letter to European Commission regarding regulatory technical standards on indirect clearing under EMIR and under MiFIR
01.10.2015EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportDraft technical standards on the Clearing Obligation – Credit Derivatives
30.09.2015CRAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsAdviceCompetition, choice and conflicts of interest in the credit rating industry
28.09.2015Market AbuseEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportCost analysis for Final Report on MAR technical standards
31.08.2015MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperDraft implementing technical standards under MiFID II regarding trading suspensions, data service providers and derivatives reporting
26.08.2015EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsDiscussion paperReview of Article 26 of RTS No 153/2013 with respect to client accounts
13.08.2015EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReportEMIR Review Report no.4 ESMA input as part of the Commission consultation on the EMIR Review
13.08.2015EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReportEMIR Review Report no.3 on the segregation and portability requirements
13.08.2015EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReportEMIR Review Report no.2 on the efficiency of margining requirements to limit procyclicality
13.08.2015EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReportEMIR Review Report no.1 on the use of OTC derivatives by non-financial counterparties
13.08.2015EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsPress ReleaseESMA recommends changes to EMIR framework
31.07.2015ELTIFEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperDraft regulatory technical standards under the ELTIF Regulation
30.07.2015AIFMDEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionOpinion 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
30.07.2015AIFMDEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsAdviceAdvice to the European Parliament, the Council and the Commission on the application of the AIFMD passport to non-EU AIFMs and AIFs
23.07.2015AIFMDEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperGuidelines on sound remuneration policies under the UCITS Directive and AIFMD
01.07.2015AMLEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersInvestment-based crowdfunding: money laundering/terrorist financing
30.06.2015EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportThe extension of the scope of interoperability arrangements
29.06.2015MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportMiFID II/MiFIR draft Technical Standards on authorisation, passporting, registration of third country firms and cooperation between competent authorities
29.06.2015MiFIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportMiFID II/MiFIR draft Technical Standards on authorisation, passporting, registration of third country firms and cooperation between competent authorities
22.05.2015EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionESMA Opinion to the EU institutions on the impact of EMIR on UCITS
22.05.2015EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFeedback statementFeedback statement on the discussion paper on the impact of EMIR on the calculation of counterparty risk for OTC financial derivative transactions by UCITS
22.05.2015UCITSEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionImpact 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
11.05.2015EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperClearing Obligation under EMIR (no.4)
07.05.2015EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsDraft OpinionDraft opinion on the composition of CCP colleges under EMIR
07.05.2015EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionOpinion on the composition of CCP colleges under EMIR
06.05.2015MiFID IEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsGuidelines and RecommendationsThe application of the definitions in Sections C6 and C7 of Annex I of Directive 2004/39/EC (MiFID)
23.04.2015MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperDraft guidelines for the assessment of knowledge and competence
01.04.2015EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsPress ReleaseESMA launches centralised data projects for MiFIR and EMIR
20.03.2015SecuritisationEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsPress ReleaseThe extension of the disclosure requirements to private and bilateral transactions for Structured Finance Instruments
19.03.2015CRAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsGuidelinesGuidelines on periodic information to be submitted to ESMA by Credit Rating Agencies
09.03.2015EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsMOUMemorandum of Understanding related to ESMA's Monitoring of the Ongoing Compliance with Recognition Conditions by Central Counterparties established in Singapore
06.03.2015EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionESMA's revised opinion on draft RTS on the Clearing Obligation on Interest Rate Swaps
06.03.2015Solvency IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperJoint 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
05.03.2015EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsMOUMemorandum of Understanding between ESMA and RBA regarding trade repositories
27.02.2015EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsMOUMemorandum of Understanding on Cooperation Arrangements to access information on derivatives contracts held in European Union trade repositories
25.02.2015MiFID IEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReportPeer Review Report - Best execution under MiFID
18.02.2015EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsMOUMemorandum of Understanding related to CCPs established in Japan
18.02.2015MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperAddendum Consultation Paper MiFID II/MiFIR
16.02.2015EuVECAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportESMA's technical advice to the European Commission on the delegated acts of the Regulations on European Social Entrepreneurship Funds and European Venture Capital Funds
16.02.2015EuSEFEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportESMA's technical advice to the European Commission on the delegated acts of the Regulations on European Social Entrepreneurship Funds and European Venture Capital Funds
29.01.2015EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionOpinion on draft RTS on the Clearing Obligation in Interest Rate Swaps
16.01.2015EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsMOUMemorandum of Understanding Related to ESMA's Monitoring of the On-going Compliance with recognition conditions by CCPs established in Hong-Kong
09.01.2015UCITSEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersESMA’s guidelines on ETFs and other UCITS issues (January 09, 2015 updated)
08.01.2015EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReportESMA review of CCP colleges under EMIR
23.12.2014UCITSEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperShare classes of UCITS
22.12.2014CRAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReportCredit Rating Agencies’ 2014 market share calculations for the purposes of Article 8d of the CRA Regulation
22.12.2014MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperConsultation Paper - Annex A - Regulatory technical standards on MiFID II/MiFIR
19.12.2014MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportESMA’s Technical Advice to the Commission on MiFID II and MiFIR
19.12.2014MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperConsultation Paper on MiFID II/MiFIR
19.12.2014MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperConsultation Paper - Annex B - Regulatory technical standards on MiFID II/MiFIR
18.12.2014CSDsEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperConsultation Paper on Guidelines on the Access to a CCP or a Trading Venue by a CSD
18.12.2014CSDsEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperConsultation Paper on Technical Standards under the CSD Regulation
18.12.2014CSDsEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperConsultation Paper on Technical Advice under the CSD Regulation
16.12.2014CRAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportCredit Rating Agencies - ESMA’s investigation into structured finance ratings
11.12.2014MiFID IEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReportPeer review report on MiFID – Conduct of Business, fair, clear and not misleading information
01.12.2014AIFMDEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperGuidelines on asset segregation under the AIFMD
20.11.2014EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOtherESMA letter to European Commission regarding EMIR clearing obligation
11.11.2014EuSEFEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersApplication of the EuSEF and EuVECA Regulations (November 11 , 2014 updated)
11.11.2014EuVECAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersApplication of the EuSEF and EuVECA Regulations (November 11, 2014 updated)
10.11.2014EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperReview of the technical standards on reporting under Article 9 of EMIR
07.11.2014AIFMDEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperCall for evidence on AIFMD passport and third country AIFMs
01.10.2014EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsPress ReleaseESMA defines products, counterparties and starting dates for the clearing of interest rate swaps
01.10.2014EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportDraft technical standards on the Clearing Obligation – Interest Rate OTC Derivatives (no 3)
01.10.2014EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperClearing Obligation under EMIR (no.3)
29.09.2014MiFID IEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperGuidelines on the application of C6 and C7 of Annex I of MiFID
29.09.2014Transparency DirectiveEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportDraft Regulatory Technical Standards on major shareholdings and an indicative list of financial instruments subject to notification requirements under the revised Transparency Directive
26.09.2014EuVECAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperESMA’s Technical Advice to the European Commission on the implementing measures of the Regulations on European Social Entrepreneurship Funds and European Venture Capital Funds
26.09.2014EuSEFEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperESMA’s Technical Advice to the European Commission on the implementing measures of the Regulations on European Social Entrepreneurship Funds and European Venture Capital Funds
17.09.2014CRAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportTechnical 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
22.08.2014MMFEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionReview of the CESR guidelines on a Common Definition of European Money Market Funds
08.08.2014AIFMDEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsGuidelinesGuidelines on reporting obligations under Articles 3(3)(d) and 24(1), (2) and (4) of the AIFMD (August 08, 2014 update)
05.08.2014EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportGuidelines and Recommendations regarding the implementation of the CPSS-IOSCO Principles for Financial Market Infrastructures in respect of Central Counterparties
01.08.2014UCITSEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsGuidelinesGuidelines for competent authorities and UCITS management companies on ETFs and other UCITS issues
22.07.2014EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsDiscussion paperCalculation of counterparty risk by UCITS for OTC financial derivative transactions subject to clearing obligations
16.07.2014CRAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperConsultation paper on periodic information to be submitted to ESMA by Credit Rating Agencies
15.07.2014Market AbuseEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperDraft technical standards on the Market Abuse Regulation
15.07.2014Market AbuseEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperESMA’s draft technical advice on possible delegated acts concerning the Market Abuse Regulation
11.07.2014EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperClearing obligation under EMIR (no. 1) IRS
11.07.2014EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperClearing obligation under EMIR (no. 2) CDS
11.07.2014EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsPress ReleaseESMA defines central clearing of interest rate and credit default swaps
22.05.2014MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsDiscussion paperDiscussion Paper on MiFID II/MiFIR
22.05.2014MiFID IIEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperConsultation Paper on MiFID II/MiFIR
24.03.2014UCITSEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportFinal Report on the revision of the provisions on diversification of collateral in ESMA’s Guidelines on ETFs and other UCITS issues
21.03.2014Transparency DirectiveEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperDraft Regulatory Technical Standards on major shareholdings and indicative list of financial instruments subject to notification requirements under the revised Transparency Directive
20.03.2014CSDsEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperDraft Technical Standards for the Regulation on improving securities settlement in the European Union and on central securities depositories (CSD)
11.03.2014CRAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsPress ReleaseESMA sees improved securities market conditions, although risks remain elevated
20.02.2014AIFMDEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsMOUAIFMD MoUs signed by the EU authorities (February 20,2014-updated)
11.02.2014CRAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperConsultation Paper on CRA 3 implementation
11.02.2014CRAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperConsultation Paper on CRA3 implementation
27.01.2014EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsAdviceTechnical advice on third country regulatory equivalence under EMIR – Japan (Supplement to the Final Report of September 2013)
06.01.2014MiFID IEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportDraft technical standards under Article 10a(8) of MiFID on the assessment of acquisitions and increases in qualifying holdings in investment firms
20.12.2013UCITSEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperRevision of the provisions on diversification of collateral in ESMA’s guidelines on ETFs and other UCITS issues
19.12.2013UCITSEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersRisk Measurement and Calculation of Global exposure and Counterparty Risk for UCITS
16.12.2013CRAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReference DocumentCRAs’ Market share calculation according to Article 8d of the CRA Regulation
02.12.2013CRAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReportSovereign ratings investigation - ESMA's assessment of governance, conflicts of interest, resourcing adequacy and confidentiality controls
02.12.2013CRAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportESMA’s assessment of governance, conflicts of interest, resourcing adequacy and confidentiality controls
28.11.2013EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsPress ReleaseESMA registers ICE TVEL and CME TR as trade repositories
21.11.2013CRAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsAdviceTechnical advice on the feasibility of a network of small and medium-sized CRAs
19.11.2013AIFMDEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOtherAIFMD reporting - Annex 2- Tables 1-7
18.11.2013AIFMDEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOtherTables 8-9-10 of annex 2 of ESMA guidelines on reporting (revised)
18.11.2013EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportDraft technical standards under EMIR on contracts with a direct, substantial and foreseeable effect within the Union and non-evasion
14.11.2013Market AbuseEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperESMA’s policy orientations on possible implementing measures under the Market Abuse Regulation
07.11.2013EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsPress ReleaseESMA registers DDRL, KDPW, Regis-TR, and UnaVista as trade repositories
18.10.2013EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperESMA’s Technical Advice to the Commission on procedural rules to impose fines on Trade
03.10.2013EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsGuidelines and RecommendationsGuidelines and Recommendations regarding written agreements between members of CCP colleges
02.10.2013EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsAdviceTechnical advice on third country regulatory equivalence under EMIR - Singapore (TRs supplement)
02.10.2013EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsAdviceTechnical advice on third country regulatory equivalence under EMIR – Switzerland (supplement)
02.10.2013EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsAdviceTechnical advice on third country regulatory equivalence under EMIR – Canada
02.10.2013EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsAdviceTechnical advice on third country regulatory equivalence under EMIR – South Korea (CCPs)
02.10.2013EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsAdviceTechnical advice on third country regulatory equivalence under EMIR – Hong Kong (OTC and TR Supplement)
02.10.2013EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsAdviceTechnical advice on third country regulatory equivalence under EMIR – India
02.10.2013EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsAdviceTechnical advice on third country regulatory equivalence under EMIR- Australia OTC and TR (Supplement)
01.10.2013AIFMDEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOtherConsolidated AIFMD reporting template
01.10.2013AIFMDEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionCollection of information for the effective monitoring of systemic risk under 24(5), first sub-paragraphe, of the AIFMD
03.09.2013EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsAdviceTechnical advice on third country regulatory equivalence under EMIR – Switzerland
03.09.2013EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsAdviceTechnical advice on third country regulatory equivalence under EMIR – Singapore
03.09.2013EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsAdviceTechnical advice on third country regulatory equivalence under EMIR – Hong Kong
03.09.2013EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsAdviceTechnical advice on third country regulatory equivalence under EMIR – Australia
03.09.2013EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsAdviceTechnical advice on third country regulatory equivalence under EMIR – Japan
03.09.2013EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsAdviceTechnical advice on third country regulatory equivalence under EMIR – US
29.08.2013CRAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsDiscussion paperDiscussion Paper on CRA3 Implementation
20.08.2013AIFMDEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionDraft regulatory technical standards on types of AIFMs under Article 4(4) of Directive 2011/61/EU
13.08.2013AIFMDEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsGuidelines and RecommendationsGuidelines on key concepts of the AIFMD
08.08.2013EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportDraft 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
01.08.2013AIFMDEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionPractical arrangements for the late transposition of the AIFMD
30.07.2013CRAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsGuidelinesGuidelines and Recommendations on the Scope of the CRA Regulation
17.07.2013EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperDraft Regulatory Technical Standards on contracts having a direct, substantial and foreseeable effect within the Union and non-evasion of provisions of EMIR
12.07.2013EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperThe Clearing Obligation under EMIR
12.07.2013EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperTemplate for the Responses to the Discussion Paper on the Clearing Obligation under EMIR
10.07.2013CRAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsDiscussion paperDiscussion paper on CRA3 Implementation
01.07.2013Market AbuseEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportSupervisory Practices under MAD - Peer review report and Good Practices
01.07.2013Market AbuseEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportSupervisory Practices under MAD - Mapping Report
17.06.2013CRAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsGuidelines and RecommendationsGuidelines and Recommendations on the Scope of the CRA Regulation
17.06.2013CRAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsPress ReleaseESMA clarifies boundary of CRA Regulation
11.06.2013MiFID IEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportGuidelines on remuneration policies and practices (MiFID)
10.06.2013EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsGuidelines and RecommendationsGuidelines and Recommendations for establishing consistent, efficient and effective assessments of interoperability arrangements
04.06.2013EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsGuidelines and RecommendationsGuidelines and Recommendations regarding written agreements between members of CCP colleges
31.05.2013CRAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsAdviceTechnical advice on CRA regulatory equivalence – on Argentina, Brazil, Mexico, Hong Kong and Singapore.
24.05.2013AIFMDEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperGuidelines on reporting obligations under Article 3 and Article 24 of the AIFMD
24.05.2013AIFMDEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportGuidelines on key concepts of the AIFMD
02.04.2013AIFMDEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportDraft regulatory technical standards on types of AIFMs
11.02.2013AIFMDEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportGuidelines on sound remuneration policies under the AIFMD
21.12.2012EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsReportReport 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)
20.12.2012CRAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperGuidelines and recommendations on the scope of the CRA Regulation
19.12.2012MiFID IEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsSupervisory BriefingMiFID supervisory briefing - Suitability
19.12.2012MiFID IEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsSupervisory BriefingMiFID Supervisory Briefing - Appropriateness and execution-only
18.12.2012UCITSEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsGuidelinesGuidelines on ETFs and other UCITS issues
20.11.2012UCITSEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsOpinionOpinion on Article 50(2)(a) of Directive 2009/65/EC (UCITS)
09.07.2012UCITSEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersNotification of UCITS and exchange of information between competent authorities
09.07.2012UCITSEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersRisk Measurement and Calculation of Global Exposure and Counterparty Risk for UCITS
06.07.2012MiFID IEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsGuidelinesGuidelines on certain aspects of the MiFID suitability requirements
06.07.2012MiFID IEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsGuidelinesGuidelines on certain aspects of the MiFID compliance function requirements
25.06.2012EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperDraft Technical Standards for the Regulation on OTC Derivatives, CCPs and Trade Repositories
18.04.2012CRAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsAdviceTechnical advice on CRA regulatory equivalence - US, Canada and Australia
28.03.2012UCITSEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsGuidelinesGuidelines on risk measurement and the calculation of global exposure for certain types of structured UCITS
15.03.2012CRAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsPress ReleaseESMA allows EU-registered CRAs to endorse credit ratings issued in the US, Canada, Hong Kong and Singapore
20.02.2012MMFEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsQuestions and AnswersA Common Definition of European Money Market Funds
16.02.2012EMIREuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperDraft Technical Standards for the Regulation on OTC Derivatives, CCPs and Trade Repositories
22.12.2011CRAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportDraft RTS on the assessment of compliance of credit rating methodologies with CRA Regulation
22.12.2011CRAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsPress ReleaseESMA extends transitional period for use of non-EU credit ratings, Australian CRA regime endorsed
16.11.2011AIFMDEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsFinal ReportESMA's Technical Advice to the European Commission on possible implementing measures of the Alternative Investment Fund Managers Directive
23.08.2011AIFMDEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperDraft technical advice to the European Commission on possible implementing measures of the Alternative Investment Fund Managers Directive in relation to supervision and third countries
18.05.2011CRAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsGuidelinesGuidelines on the application of the endorsement regime under Article 4 (3) of the Credit Rating Agencies Regulation No 1060/2009
14.04.2011UCITSEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsGuidelinesGuidelines to competent authorities and UCITS management companies on risk measurement and the calculation of global exposure for certain types of structured UCITS
14.04.2011CRAEuropean Securities and Markets Authority - formerly Committee of European Securities RegulatorsConsultation PaperESMA´s Technical Advice to the Commission on Fees for CRA Supervision
28.12.2017SecuritisationEuropean Parliament and CouncilRegulationRegulation 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
14.06.2017Prospectus IIEuropean Parliament and CouncilRegulationRegulation (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
14.06.2017MMFEuropean Parliament and CouncilRegulationRegulation (EU) 2017/1131 of the European Parliament and the Council of 14 June 2017 on money market funds
14.12.2016PRIIPSEuropean Parliament and CouncilRegulationRegulation (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
14.12.2016IORPEuropean Parliament and CouncilDirectiveDirective (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)
14.07.2016EuVECAEuropean Parliament and CouncilLegislative ProposalProposal 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
14.07.2016EuSEFEuropean Parliament and CouncilLegislative ProposalProposal 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
26.06.2016CSDsEuropean Parliament and CouncilRegulationRegulation (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
23.06.2016MiFIREuropean Parliament and CouncilRegulationRegulation (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
23.06.2016MiFID IIEuropean Parliament and CouncilDirectiveDirective (EU) 2016/1034 of the European Parliament and the Council of 23 June 2016 amending Directive 2014/65/EU on markets in financial instruments
23.06.2016Market AbuseEuropean Parliament and CouncilRegulationRegulation (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
08.06.2016BenchmarksEuropean Parliament and CouncilRegulationRegulation 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
10.02.2016CSDsEuropean Parliament and CouncilLegislative ProposalProposal 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
25.11.2015SFTREuropean Parliament and CouncilRegulationRegulation (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
25.11.2015Transparency DirectiveEuropean Parliament and CouncilRegulationRegulation (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
20.05.2015AMLEuropean Parliament and CouncilRegulationRegulation (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
20.05.2015AMLEuropean Parliament and CouncilDirectiveDIRECTIVE (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
29.04.2015ELTIFEuropean Parliament and CouncilRegulationRegulation (EU) 2015/760 of the European Parliament and of the Council of 29 April 2015 on European long-term investment funds
13.12.2014PRIIPSEuropean Parliament and CouncilCorrigendaCorrigendum 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)
09.12.2014PRIIPSEuropean Parliament and CouncilRegulationRegulation (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)
05.12.2014ELTIFEuropean Parliament and CouncilPolitical AgreementProposal for a Regulation of the European Parliament and of the Council on European Long-term Investment Funds (ELTIFs) - Approval of the final compromise text
17.09.2014UCITSEuropean Parliament and CouncilDirectiveDirective 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)
23.07.2014UCITSEuropean Parliament and CouncilDirectiveDirective 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")
23.07.2014CSDsEuropean Parliament and CouncilRegulationRegulation (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
12.06.2014MiFIREuropean Parliament and CouncilRegulationRegulation (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
12.06.2014MiFID IIEuropean Parliament and CouncilDirectiveDirective 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)
16.04.2014Market AbuseEuropean Parliament and CouncilRegulationRegulation (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
16.04.2014Market AbuseEuropean Parliament and CouncilDirectiveDirective 2014/57/EU of the European Parliament and of the Council of 16 April 2014 on criminal sanctions for market abuse (market abuse directive)
16.04.2014Solvency IIEuropean Parliament and CouncilDirectiveDIRECTIVE 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)
17.02.2014MiFID IIEuropean Parliament and CouncilDirectiveDirective on Markets in Financial Instruments repealing directive 2004/39/EC
17.02.2014MiFIREuropean Parliament and CouncilRegulationRegulation on markets in financial instruments and amending Regulation [EMIR] on OTC derivatives, central counterparties and trade repositories (MiFIR)
06.11.2013Transparency DirectiveEuropean Parliament and CouncilDirectiveDirective 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
10.10.2013Transparency DirectiveEuropean Parliament and CouncilDirectiveDirective 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
21.05.2013CRAEuropean Parliament and CouncilRegulationRegulation (EU) No 462/2013 amending Regulation (EC) No 1060/2009 on credit rating agencies
21.05.2013UCITSEuropean Parliament and CouncilDirectiveDirective 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
17.04.2013EuVECAEuropean Parliament and CouncilRegulationRegulation (EU) No 345/2013 on European venture capital funds
04.07.2012EMIREuropean Parliament and CouncilRegulationRegulation (EU) No 648/2012 of the European parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories
03.07.2012IDDEuropean Parliament and CouncilDirectiveDirective of the European Parliament and of the Council on insurance distribution (recast)
08.06.2011AIFMDEuropean Parliament and CouncilDirectiveDirective 2011/61/EU on Alternative Investment Fund Managers
11.05.2011CRAEuropean Parliament and CouncilRegulationRegulation (EU) No 513/2011 of 11 May 2011 amending Regulation (EC) No 1060/2009 on credit rating agencies
29.12.2009CRAEuropean Parliament and CouncilRegulationCorrigendum to Regulation (EC) No 1060/2009 of the European Parliament and of the Council of 16 September 2009 on credit rating agencies
25.11.2009Solvency IIEuropean Parliament and CouncilDirectiveDirective 2009/138/EC on the taking-up and pursuit of the business of Insurance and Reinsurance (Solvency II)
16.09.2009CRAEuropean Parliament and CouncilRegulationRegulation (EC) No 1060/2009 on credit rating agencies
13.07.2009UCITSEuropean Parliament and CouncilDirectiveDirective 2009/65/EC ("UCITS IV") on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS)
13.07.2009UCITSEuropean Parliament and CouncilDirectiveDirective 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")
15.11.2006AMLEuropean Parliament and CouncilRegulationRegulation (EC) No 1781/2006 on information on the payer accompanying transfers of funds
26.10.2005AMLEuropean Parliament and CouncilDirectiveDirective 2005/60/EC on the prevention of the use of the financial system for the purpose of money laundering and terrorist financing
15.12.2004Transparency DirectiveEuropean Parliament and CouncilDirectiveDirective 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
21.04.2004MiFID IEuropean Parliament and CouncilDirectiveDirective 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
17.04.2003EuSEFEuropean Parliament and CouncilRegulationRegulation (EU) No 346/2013 on European social entrepreneurship funds
28.01.2003Market AbuseEuropean Parliament and CouncilDirectiveDirective 2003/6/EC on insider dealing and market manipulation (market abuse)
11.09.2002Transparency DirectiveEuropean Parliament and CouncilRegulationRegulation (EC) No 1606/2002 of the European Parliament and of the Council of 19 July 2002 on the application of international accounting standards
03.07.2013FTTEuropean ParliamentReportReport on the proposal for a Council directive implementing enhanced cooperation in the area of financial transaction tax
26.10.2012MiFID IIEuropean ParliamentReportAmendmends 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
26.10.2012MiFIREuropean ParliamentReportAmendments 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
28.02.2018Solvency IIEuropean Insurance and Occupational Pensions AuthorityAdviceEIOPA’s second set of advice to the European Commission on specific items in the Solvency II Delegated Regulation
12.02.2018Solvency IIEuropean Insurance and Occupational Pensions AuthorityQuestions and AnswersAnswers to questions on Commission Delegated Regulation (EU) 2015/35 supplementing Directive 2009/138
19.12.2017IDDEuropean Insurance and Occupational Pensions AuthorityQuestions and AnswersQ&A on the comprehension alert in the Key Information Document for Insurance-Based Investment Products
11.12.2017IDDEuropean Insurance and Occupational Pensions AuthorityOpinionEIOPA opinion on monetary incentives and remuneration between providers of asset management services and insurance undertakings
30.11.2017Solvency IIEuropean Insurance and Occupational Pensions AuthorityOpinionEIOPA Opinion on the supervisory assessment of internal models including a dynamic volatility adjustment
30.10.2017Solvency IIEuropean Insurance and Occupational Pensions AuthorityAdviceEIOPA’s first set of advice to the European Commission on specific items in the Solvency II Delegated Regulation
11.10.2017IDDEuropean Insurance and Occupational Pensions AuthorityGuidelinesGuidelines on Insurance-based investment products that incorporate a structure which makes it difficult for the customer to understand the risks involved
05.07.2017Solvency IIEuropean Insurance and Occupational Pensions AuthorityOpinionEIOPA opinion on the harmonisation of recovery and resolution frameworks for (re)insurers across the Member States
21.12.2016Solvency IIEuropean Insurance and Occupational Pensions AuthorityOpinionEIOPA opinion on disclosure of information related to the use of transitional measures in the calculation of technical provisions
26.01.2016Solvency IIEuropean Insurance and Occupational Pensions AuthorityOpinionEIOPA opinion on the application of a combination of methods to the group solvency calculation
23.10.2015Solvency IIEuropean Insurance and Occupational Pensions AuthorityGuidelinesGuidelines on the supervision of branches of third-country insurance undertakings
14.09.2015Solvency IIEuropean Insurance and Occupational Pensions AuthorityGuidelinesGuidelines on Financial Stability Reporting​​
14.09.2015Solvency IIEuropean Insurance and Occupational Pensions AuthorityGuidelinesGuidelines on the Extension of the Recovery Period​​​​
14.09.2015Solvency IIEuropean Insurance and Occupational Pensions AuthorityGuidelinesGuidelines on the exchange of information within colleges​
14.09.2015Solvency IIEuropean Insurance and Occupational Pensions AuthorityGuidelinesGuidelines on the implementation of the long-term guarantee measures​
14.09.2015Solvency IIEuropean Insurance and Occupational Pensions AuthorityGuidelinesGuidelines on the methods for determining the market shares for reporting​
14.09.2015Solvency IIEuropean Insurance and Occupational Pensions AuthorityGuidelinesGuidelines on reporting and public disclosure​
14.09.2015Solvency IIEuropean Insurance and Occupational Pensions AuthorityGuidelinesGuidelines on recognition and valuation of assets and liabilities other than technical provisions​
14.09.2015Solvency IIEuropean Insurance and Occupational Pensions AuthorityGuidelinesGuidelines on System of Governance​
14.09.2015Solvency IIEuropean Insurance and Occupational Pensions AuthorityGuidelinesGuidelines on Own Risk Solvency Assessment (ORSA)
09.09.2015Solvency IIEuropean Insurance and Occupational Pensions AuthorityOpinionEIOPA Opinion on the group solvency calculation in the context of equivalence
09.09.2015Solvency IIEuropean Insurance and Occupational Pensions AuthorityOpinionEIOPA Opinion on the group solvency calculation in the context of equivalence
14.04.2015Solvency IIEuropean Insurance and Occupational Pensions AuthorityOpinionEIOPA Opinion on the preparation for Internal Model applications
02.02.2015Solvency IIEuropean Insurance and Occupational Pensions AuthorityGuidelinesGuidelines on ancillary own funds
02.02.2015Solvency IIEuropean Insurance and Occupational Pensions AuthorityGuidelinesGuidelines ​​on the Application of Outwards Reinsurance​
02.02.2015Solvency IIEuropean Insurance and Occupational Pensions AuthorityGuidelinesGuidelines on application of the life underwriting risk module
02.02.2015Solvency IIEuropean Insurance and Occupational Pensions AuthorityGuidelinesGuidelines on basis risk
02.02.2015Solvency IIEuropean Insurance and Occupational Pensions AuthorityGuidelinesGuidelines on Classification of Own Funds
02.02.2015Solvency IIEuropean Insurance and Occupational Pensions AuthorityGuidelinesGuidelines on contract boundaries
02.02.2015Solvency IIEuropean Insurance and Occupational Pensions AuthorityGuidelinesGuidelines on group solvency
02.02.2015Solvency IIEuropean Insurance and Occupational Pensions AuthorityGuidelinesGuidelines on health catastrophe risk sub-module
02.02.2015Solvency IIEuropean Insurance and Occupational Pensions AuthorityGuidelinesGuidelines on look-through approach
02.02.2015Solvency IIEuropean Insurance and Occupational Pensions AuthorityGuidelines​Guidelines on operational functioning of colleges
02.02.2015Solvency IIEuropean Insurance and Occupational Pensions AuthorityGuidelinesGuidelines on ring-fenced funds
02.02.2015Solvency IIEuropean Insurance and Occupational Pensions AuthorityGuidelinesGuidelines on supervisory review process
02.02.2015Solvency IIEuropean Insurance and Occupational Pensions AuthorityGuidelinesGuidelines on the loss-absorbing capacity of technical provisions and deferred taxes
02.02.2015Solvency IIEuropean Insurance and Occupational Pensions AuthorityGuidelinesGuidelines on the methodology for equivalence assessments by national supervisory authorities under Solvency II
02.02.2015Solvency IIEuropean Insurance and Occupational Pensions AuthorityGuidelinesGuidelines on the treatment of market and counterparty risk exposures in the standard formula
02.02.2015Solvency IIEuropean Insurance and Occupational Pensions AuthorityGuidelinesGuidelines on the use of internal models
02.02.2015Solvency IIEuropean Insurance and Occupational Pensions AuthorityGuidelinesGuidelines on treatment of related undertakings, including participations
02.02.2015Solvency IIEuropean Insurance and Occupational Pensions AuthorityGuidelinesGuidelines on undertaking-specific parameters
02.02.2015Solvency IIEuropean Insurance and Occupational Pensions AuthorityGuidelinesGuidelines on valuation of technical provisions
07.01.2015IORPEuropean Insurance and Occupational Pensions AuthorityFinal ReportFinal report on costs and charges of IORPs
27.03.2014Solvency IIEuropean Insurance and Occupational Pensions AuthorityOpinionEIOPA Opinion on the use of a Common Application Package for Internal Models
15.02.2012IORPEuropean Insurance and Occupational Pensions AuthorityAdviceAdvice to the European Commission on the review of the IORP Directive 2003/41/EC
24.07.2019AMLEuropean CommissionReportReport assessing the conditions and the technical specifications and procedures for ensuring secure and efficient interconnection of central bank account registers and data retrieval system
24.07.2019AMLEuropean CommissionReport Supranational risk assessment of the money laundering and terrorist financing risks affecting the Union
14.05.2019AMLEuropean CommissionDelegated RegulationCommission 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
14.05.2019AMLEuropean CommissionDelegated RegulationCommission 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
12.07.2018AIFMDEuropean CommissionDelegated RegulationCommission Delegated Regulation (EU) 2018/1618 of 12 July 2018 amending Delegated Regulation (EU) No 231/2013 as regards safe-keeping duties of depositaries
12.07.2018UCITSEuropean CommissionDelegated RegulationCommission Delegated Regulation (EU) 2018/1619 of 12 July 2018 amending Delegated Regulation (EU) 2016/438 as regards safe-keeping duties of depositaries
26.04.2018Covered BondsEuropean CommissionProposalProposal 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
17.04.2018MMFEuropean CommissionImplementing RegulationCommission 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
10.04.2018MMFEuropean CommissionDelegated RegulationCommission 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
19.03.2018IDDEuropean CommissionDirectiveDirective 2018/411 amending Directive 2016/97 as regards the date of application of Member States' transposition measures
14.03.2018NPLEuropean CommissionProposalProposal for a Directive of the European Parliament and of the Council on credit servicers, credit purchasers and the recovery of collateral
14.03.2018NPLEuropean CommissionImpact AssessmentImpact 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)
14.03.2018NPLEuropean CommissionImpact AssessmentImpact 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)
12.03.2018Cross-border distribution European CommissionProposalProposal 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
12.03.2018Cross-border distribution European CommissionProposalProposal 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
12.03.2018Covered BondsEuropean CommissionProposalProposal 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
12.03.2018Covered BondsEuropean CommissionImpact AssessmentImpact 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
12.03.2018Cross-border distribution European CommissionImpact Assessment - FullImpact 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
19.01.2018MMFEuropean CommissionOtherLetter of the EU Commission to ESMA on the use of Reverse Distribution Mechanism
20.12.2017IDDEuropean CommissionProposalProposal 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
19.12.2017BenchmarksEuropean CommissionImplementing RegulationCommission 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
16.11.2017SFTREuropean CommissionProposalDraft 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
29.10.2017BenchmarksEuropean CommissionDelegated RegulationCommission 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
19.10.2017SFTREuropean CommissionReportReport 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
13.10.2017Solvency IIEuropean CommissionDelegated RegulationCorrigendum 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
13.10.2017EMIREuropean CommissionDelegated RegulationCommission 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
03.10.2017BenchmarksEuropean CommissionDelegated RegulationCommission 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
29.09.2017BenchmarksEuropean CommissionDelegated RegulationCommission 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
29.09.2017BenchmarksEuropean CommissionDelegated RegulationCommission 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
22.09.2017EMIREuropean CommissionDelegated RegulationCommission 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
21.09.2017IDDEuropean CommissionDelegated RegulationDelegated regulation supplementing Directive 2016/97 with regard to information requirements and conduct of business rules applicable to the distribution of insurance-based investment products
21.09.2017IDDEuropean CommissionDelegated RegulationDelegated regulation supplementing Directive 2016/97 with regard to product oversight and governance requirements for insurance undertakings and insurance distributors
20.09.2017Solvency IIEuropean CommissionLegislative ProposalProposal 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)
14.09.2017Solvency IIEuropean CommissionDelegated RegulationCommission 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)
14.09.2017Solvency IIEuropean CommissionImpact AssessmentImpact 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)
12.08.2017IDDEuropean CommissionImplementing RegulationImplementing regulation laying down a standardised presentation format for the insurance product information document
29.07.2017EMIREuropean CommissionDelegated RegulationCommission 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
07.07.2017PRIIPSEuropean CommissionCommunicationGuidelines 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)
07.06.2017MiFID IIEuropean CommissionImplementing RegulationCommission 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
11.05.2017PRIIPSEuropean CommissionCorrigendaCorrigendum 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
04.05.2017EMIREuropean CommissionLegislative ProposalProposal 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
04.05.2017SFTREuropean CommissionLegislative ProposalProposal 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
12.04.2017PRIIPSEuropean CommissionDelegated RegulationCommission 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
31.03.2017MiFIREuropean CommissionDelegated RegulationCommission 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
31.03.2017MiFIREuropean CommissionDelegated RegulationAnnex 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
16.03.2017EMIREuropean CommissionDelegated RegulationCommission 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
02.03.2017EMIREuropean CommissionDelegated RegulationCommission 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
20.01.2017EMIREuropean CommissionDelegated RegulationCommission 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
20.12.2016EMIREuropean CommissionDelegated RegulationCommission 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
01.12.2016MiFID IIEuropean CommissionDelegated RegulationCommission 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
01.12.2016MiFID IIEuropean CommissionDelegated RegulationCommission 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
28.11.2016SFTREuropean CommissionImpact AssessmentImpact 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
28.11.2016SFTREuropean CommissionProposalProposal 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
10.11.2016Solvency IIEuropean CommissionImplementing RegulationCommission 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
29.10.2016PRIIPSEuropean CommissionDelegated RegulationCommission 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
20.10.2016Solvency IIEuropean CommissionImplementing RegulationCommission 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
19.10.2016EMIREuropean CommissionImplementing RegulationCommission 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
19.10.2016EMIREuropean CommissionDelegated RegulationCommission 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
11.10.2016CRAEuropean CommissionImplementing RegulationCommission 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
11.10.2016CRAEuropean CommissionImplementing RegulationCommission 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
11.10.2016Solvency IIEuropean CommissionImplementing RegulationCommission 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
11.10.2016SecuritisationEuropean CommissionImplementing RegulationCommission 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
07.10.2016CRAEuropean CommissionImplementing RegulationCommission 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
04.10.2016EMIREuropean CommissionDelegated RegulationCommission 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
09.09.2016Solvency IIEuropean CommissionImplementing RegulationCommission 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
11.08.2016BenchmarksEuropean CommissionImplementing RegulationCommission 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
08.08.2016Solvency IIEuropean CommissionImplementing RegulationCommission 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
19.07.2016MiFID IIEuropean CommissionDelegated RegulationCommission 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
19.07.2016MiFID IIEuropean CommissionDelegated RegulationAnnexes 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
14.07.2016MiFID IIEuropean CommissionDelegated RegulationCommission 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
14.07.2016MiFID IIEuropean CommissionDelegated RegulationAnnex 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
14.07.2016MiFIREuropean CommissionDelegated RegulationCommission 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
14.07.2016MiFIREuropean CommissionDelegated RegulationAnnexes 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
14.07.2016MiFIREuropean CommissionDelegated RegulationCommission 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
14.07.2016MiFIREuropean CommissionDelegated RegulationAnnexes 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
14.07.2016MiFIREuropean CommissionDelegated RegulationCommission 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
14.07.2016MiFID IIEuropean CommissionDelegated RegulationCommission 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
14.07.2016MiFID IIEuropean CommissionDelegated RegulationCommission 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
14.07.2016MiFIREuropean CommissionDelegated RegulationCommission 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
14.07.2016MiFIREuropean CommissionDelegated RegulationAnnex 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
14.07.2016MiFID IIEuropean CommissionDelegated RegulationCommission 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
14.07.2016MiFID IIEuropean CommissionDelegated RegulationAnnex 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
14.07.2016AMLEuropean CommissionDelegated RegulationCommission 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
29.06.2016MiFIREuropean CommissionRegulationCommission 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
29.06.2016MiFID IIEuropean CommissionDelegated RegulationCommission 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
29.06.2016MiFID IIEuropean CommissionDelegated RegulationCommission 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
29.06.2016MiFIREuropean CommissionDelegated RegulationCommission 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
29.06.2016MiFID IIEuropean CommissionDelegated RegulationCommission 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
24.06.2016MiFIREuropean CommissionRegulationAnnex 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
24.06.2016MiFIREuropean CommissionRegulationCommission 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
24.06.2016MiFIREuropean CommissionRegulationAnnex 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
24.06.2016MiFIREuropean CommissionRegulationCommission 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
24.06.2016MiFIREuropean CommissionDelegated RegulationCommission 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
24.06.2016MiFIREuropean CommissionDelegated RegulationAnnex 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
24.06.2016MiFIREuropean CommissionDelegated RegulationCommission 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
24.06.2016MiFIREuropean CommissionDelegated RegulationAnnex 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
13.06.2016MiFIREuropean CommissionDelegated RegulationCommission 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
13.06.2016MiFIREuropean CommissionDelegated RegulationAnnex 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
13.06.2016MiFID IIEuropean CommissionDelegated RegulationCommission 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
13.06.2016MiFIREuropean CommissionDelegated RegulationCommission 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
10.06.2016EMIREuropean CommissionDelegated RegulationCommission 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
08.06.2016MiFID IIEuropean CommissionDelegated RegulationCommission 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
08.06.2016MiFID IIEuropean CommissionDelegated RegulationAnnex 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
08.06.2016MiFID IIEuropean CommissionDelegated RegulationCommission 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
08.06.2016MiFID IIEuropean CommissionDelegated RegulationAnnex 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
07.06.2016MiFID IIEuropean CommissionDelegated RegulationCommission 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
07.06.2016MiFID IIEuropean CommissionDelegated RegulationAnnex 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
06.06.2016MiFID IIEuropean CommissionDelegated RegulationCommission 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
02.06.2016AIFMDEuropean CommissionConsultation PaperCMU action on cross-border distribution of funds accross the EU
02.06.2016UCITSEuropean CommissionConsultation PaperCMU action on cross-border distribution of funds accross the EU
02.06.2016MiFIREuropean CommissionDelegated RegulationCommission 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
02.06.2016MiFID IIEuropean CommissionDelegated RegulationCommission 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
02.06.2016MiFIREuropean CommissionDelegated RegulationCommission 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
27.05.2016Solvency IIEuropean CommissionImplementing RegulationCommission 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
26.05.2016MiFIREuropean CommissionDelegated RegulationCommission 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
26.05.2016MiFID IIEuropean CommissionDelegated RegulationCommission 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
24.05.2016MiFID IIEuropean CommissionDelegated RegulationCommission 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
24.05.2016MiFID IIEuropean CommissionDelegated RegulationCommission 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
18.05.2016MiFID IIEuropean CommissionDelegated RegulationCommission 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
18.05.2016MiFID IIEuropean CommissionDelegated RegulationAnnex 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
25.04.2016MiFID IIEuropean CommissionDelegated RegulationCommission 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
21.04.2016EMIREuropean CommissionDelegated RegulationCommission 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
07.04.2016MiFID IIEuropean CommissionDirectiveCommission 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
01.03.2016EMIREuropean CommissionDelegated RegulationCommission 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
10.02.2016Market AbuseEuropean CommissionLegislative ProposalProposal 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
05.02.2016Solvency IIEuropean CommissionImplementing RegulationCommission 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)
17.12.2015UCITSEuropean CommissionDelegated RegulationCommission 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")
02.12.2015Solvency IIEuropean CommissionImplementing RegulationCommission 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
02.12.2015Solvency IIEuropean CommissionImplementing RegulationCommission 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
02.12.2015Solvency IIEuropean CommissionImplementing RegulationCommission 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
30.11.2015Prospectus IIEuropean CommissionLegislative ProposalProposal for a Regulation on the prospectus to be published when securities are offered to the public or admitted to trading
30.11.2015ProspectusEuropean CommissionDelegated RegulationCommission 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
26.11.2015Solvency IIEuropean CommissionDelegated 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
26.11.2015Solvency IIEuropean CommissionDelegated 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
13.11.2015EMIREuropean CommissionImplementing DecisionCommission 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
13.11.2015EMIREuropean CommissionImplementing DecisionCommission 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
13.11.2015EMIREuropean CommissionImplementing DecisionCommission 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
13.11.2015EMIREuropean CommissionImplementing DecisionCommission 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
13.11.2015EMIREuropean CommissionImplementing DecisionCommission 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
11.11.2015Solvency IIEuropean CommissionImplementing RegulationCommission 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
11.11.2015Solvency IIEuropean CommissionImplementing RegulationCommission 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
11.11.2015Solvency IIEuropean CommissionImplementing RegulationCommission 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
11.11.2015Solvency IIEuropean CommissionImplementing RegulationCommission 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
11.11.2015Solvency IIEuropean CommissionImplementing RegulationCommission 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
11.11.2015Solvency IIEuropean CommissionImplementing RegulationCommission 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
11.11.2015Solvency IIEuropean CommissionImplementing RegulationCommission 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
08.10.2015SecuritisationEuropean CommissionLegislative ProposalProposal 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
30.09.2015Solvency IIEuropean CommissionDelegated RegulationCommission 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)
06.08.2015EMIREuropean CommissionDelegated RegulationCommission 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
12.06.2015Solvency IIEuropean CommissionDelegated 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
05.06.2015Solvency IIEuropean CommissionDelegated 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
05.06.2015EMIREuropean CommissionDelegated RegulationCommission 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
26.05.2015EMIREuropean CommissionConsultationPublic consultation on Regulation (EU) No 648/2012 on OTC derivatives, central counterparties and trade repositories
13.05.2015Transparency DirectiveEuropean CommissionDelegated RegulationCommission 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
24.03.2015Solvency IIEuropean CommissionImplementing RegulationCommission 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
24.03.2015Solvency IIEuropean CommissionImplementing RegulationCommission 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
24.03.2015Solvency IIEuropean CommissionImplementing RegulationCommission 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
19.03.2015Solvency IIEuropean CommissionImplementing RegulationCommission 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
19.03.2015Solvency IIEuropean CommissionImplementing RegulationCommission 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
19.03.2015Solvency IIEuropean CommissionImplementing RegulationCommission 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
18.02.2015SecuritisationEuropean CommissionConsultation PaperConsultation Paper on an EU framework for simple, transparent and standardised securitisation
10.10.2014Solvency IIEuropean CommissionDelegated RegulationCommission 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)
12.09.2014SecuritisationEuropean CommissionImplementing DecisionCommission Implementing Decision of 11/09/2014 for on the model of funding agreement concerning joint uncapped guarantee and securitisation financial instruments
11.07.2014EMIREuropean CommissionOtherEuropean Commission response to ESMA letter regarding the frontloading requirement under EMIR
04.06.2014EMIREuropean CommissionImplementing RegulationCommission 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
12.05.2014EMIREuropean CommissionImplementing RegulationCommission 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
09.04.2014EU Corporate Governance FrameworkEuropean CommissionImpact Assessment - SummaryProposal for a Directive of the European Parliament and the Council amending Directive 2007/36/EC as regards the encouragement of long-term shareholder
09.04.2014EU Corporate Governance FrameworkEuropean CommissionImpact AssessmentProposal for a Directive of the European Parliament and the Council amending Directive 2007/36/EC as regards the encouragement of long-term shareholder
09.04.2014EU Corporate Governance FrameworkEuropean CommissionLegislative ProposalProposal for a Directive of the European Parliament and the Council amending Directive 2007/36/EC as regards the encouragement of long-term shareholder
27.03.2014IORPEuropean CommissionLegislative ProposalProposal for a Directive on the activities and supervision of institutions for occupational retirement provision (recast)
27.03.2014IORPEuropean CommissionImpact AssessmentEC executive summary of impact assessment accompanying the proposal for a directive amending directive 2003/41/EC
13.03.2014EMIREuropean CommissionDelegated RegulationCommission 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
07.03.2014ProspectusEuropean CommissionDelegated RegulationCommission 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)
13.02.2014EMIREuropean CommissionDelegated RegulationCommission 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
17.12.2013AIFMDEuropean CommissionDelegated RegulationCommission 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
18.09.2013BenchmarksEuropean CommissionImpact Assessment - SummaryProposal 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
18.09.2013BenchmarksEuropean CommissionImpact Assessment - FullProposal 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
18.09.2013BenchmarksEuropean CommissionLegislative ProposalProposal for a regulation of the European Parliament and of the council on indices used as benchmarks in financial instruments and financial contracts
04.09.2013MMFEuropean CommissionLegislative ProposalProposal for a Regulation on Money Market Funds
04.09.2013MMFEuropean CommissionQuestions and AnswersNew rules for Money Market Funds proposed
26.06.2013ELTIFEuropean CommissionImpact AssessmentProposal for a Regulation on European Long-term Investment Funds - Impact Assessment - Full Text
26.06.2013ELTIFEuropean CommissionImpact AssessmentProposal for a regulation on European Long-term Investment Funds - Impact Assessment - Summary
26.06.2013ELTIFEuropean CommissionLegislative ProposalProposal for a regulation on European Long-term Investment Funds
12.06.2013EMIREuropean CommissionDelegated RegulationCommission 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
15.05.2013AIFMDEuropean CommissionImplementing RegulationCommission Implementing Regulation (EU) No 447/2013 establishing the procedure for AIFMs which choose to opt in under Directive 2011/61/EU
15.05.2013AIFMDEuropean CommissionImplementing RegulationCommission 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
30.04.2013ProspectusEuropean CommissionDelegated RegulationCommission 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)
14.02.2013FTTEuropean CommissionImpact AssessmentProposal for a council directive implementing enhanced cooperation in the area of financial transaction tax - Impact Assessment - Full Text
14.02.2013FTTEuropean CommissionImpact AssessmentProposal for a council directive implementing enhanced cooperation in the area of financial transaction tax - Impact Assessment - Summary
14.02.2013FTTEuropean CommissionLegislative ProposalProposal for a council directive implementing enhanced cooperation in the area of financial transaction tax
05.02.2013AMLEuropean CommissionImpact AssessmentProposal for a regulation on information accompanying transfers of funds - Impact Assessment - Full Text
05.02.2013AMLEuropean CommissionImpact AssessmentProposal for a regulation on information accompanying transfers of funds - Impact Assessment - Summary
19.12.2012EMIREuropean CommissionImplementing RegulationCommission 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
19.12.2012EMIREuropean CommissionImplementing RegulationCommission 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
19.12.2012AIFMDEuropean CommissionDelegated RegulationCommission Delegated Regulation (EU) No 231/2013 on exemptions, general operating conditions, depositaries, leverage, transparency and supervision
19.12.2012EMIREuropean CommissionDelegated RegulationCommission 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
19.12.2012EMIREuropean CommissionDelegated RegulationCommission 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
19.12.2012EMIREuropean CommissionDelegated RegulationCommission 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
19.12.2012EMIREuropean CommissionDelegated RegulationCommission 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
19.12.2012EMIREuropean CommissionDelegated RegulationCommission 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
19.12.2012EMIREuropean CommissionDelegated RegulationCommission 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
19.12.2012EMIREuropean CommissionImplementing RegulationCommission 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
19.12.2012EMIREuropean CommissionImplementing RegulationCommission 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
19.12.2012EMIREuropean CommissionImplementing RegulationCommission 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
25.07.2012Market AbuseEuropean CommissionLegislative ProposalProposal for a regulation on insider dealing and market manipulation (market abuse)
12.07.2012CRAEuropean CommissionDelegated RegulationCommission 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
03.07.2012UCITSEuropean CommissionLegislative ProposalProposal for a Directive amending Directive 2009/65/EC relating to UCITS as regards depositary functions, remuneration policies and sanctions ("UCITS V")
03.07.2012IDDEuropean CommissionLegislative ProposalProposal for a directive of the European Parliament and of the Council on insurance mediation (recast)
03.07.2012IDDEuropean CommissionImpact AssessmentImpact assessment accompanying the document Directive of the European Parliament and of the Council on Insurance Mediation
04.06.2012ProspectusEuropean CommissionDelegated RegulationCommission 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)
13.04.2012Transparency DirectiveEuropean CommissionImplementing DecisionCommission 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
30.03.2012ProspectusEuropean CommissionDelegated RegulationCommission 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)
21.03.2012CRAEuropean CommissionDelegated RegulationCommission 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
21.03.2012CRAEuropean CommissionDelegated RegulationCommission 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
21.03.2012CRAEuropean CommissionDelegated RegulationCommission 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
21.03.2012CRAEuropean CommissionDelegated RegulationCommission 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
07.03.2012CSDsEuropean CommissionImpact AssessmentProposal 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
07.03.2012CSDsEuropean CommissionImpact AssessmentProposal 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
07.03.2012CSDsEuropean CommissionLegislative ProposalProposal for a regulation on improving securities settlement in the European Union and on central securities depositories (CSDs) and amending Directive 98/26/EC
07.02.2012CRAEuropean CommissionDelegated RegulationCommission Delegated Regulation (EU) No 272/2012 supplementing Regulation (EC) No 1060/2009 with regard to fees charged by ESMA to credit rating agencies
07.12.2011EuSEFEuropean CommissionImpact AssessmentProposal for a regulation on European Social Entrepreneurship Funds - Impact assessment - Full Text
07.12.2011EuSEFEuropean CommissionImpact AssessmentProposal for a regulation on European Social Entrepreneurship Funds - Impact assessment - Summary
07.12.2011EuVECAEuropean CommissionImpact AssessmentProposal for a regulation on European Venture Capital Funds - Impact Assessment - Full Text
07.12.2011EuVECAEuropean CommissionImpact AssessmentProposal for a regulation on European Venture Capital Funds - Impact Assessment - Summary
15.11.2011EU Corporate Governance FrameworkEuropean CommissionFeedback statementSummary of responses to the Commission Green Paper on the EU corporate governance framework
25.10.2011Transparency DirectiveEuropean CommissionLegislative ProposalProposal 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
20.10.2011MiFID IIEuropean CommissionImpact AssessmentProposal for a directive on markets in financial instruments repealing Directive 2004/39/EC - Impact Assessment - Full Text
20.10.2011MiFID IIEuropean CommissionImpact AssessmentProposal for a directive on markets in financial instruments repealing Directive 2004/39/EC - Impact Assessment - Summary
20.10.2011EMIREuropean CommissionLegislative ProposalProposal for a regulation on markets in financial instruments and amending Regulation [EMIR] on OTC derivatives, central counterparties and trade repositories
20.10.2011Market AbuseEuropean CommissionLegislative ProposalProposal for a directive on criminal sanctions for insider dealing and market manipulation
20.10.2011AMLEuropean CommissionLegislative ProposalProposal for a regulation on information accompanying transfers of funds
05.04.2011EU Corporate Governance FrameworkEuropean CommissionGreen PaperGreen Paper on the EU corporate governance framework
19.01.2011Solvency IIEuropean CommissionLegislative ProposalProposal for a directive amending Directives 2003/71/EC and 2009/138/EC in respect of the powers of the EIOPA and the ESMA
01.07.2010UCITSEuropean CommissionDirectiveCommission Directive 2010/42/EU implementing Directive 2009/65/EC ("UCITS IV") as regards certain provisions concerning fund mergers, master-feeder structures and notification procedure
01.07.2010UCITSEuropean CommissionDirectiveCommission 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
01.07.2010UCITSEuropean CommissionRegulationCommission 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
01.07.2010UCITSEuropean CommissionRegulationCommission 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
29.04.2009ProspectusEuropean CommissionRegulationCommission 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)
19.12.2008Transparency DirectiveEuropean CommissionDelegated 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
22.12.2007Transparency DirectiveEuropean CommissionRegulationCommission 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
21.12.2007ProspectusEuropean CommissionRegulationCommission 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
27.02.2007ProspectusEuropean CommissionRegulationCommission 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
10.08.2006MiFID IEuropean CommissionDirectiveCommission 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
10.08.2006MiFID IEuropean CommissionRegulationCommission 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
29.04.2004Market AbuseEuropean CommissionDirectiveDirective 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
22.12.2003Market AbuseEuropean CommissionDirectiveDirective 2003/124/EC implementing Directive 2003/6/EC as regards the definition and public disclosure of inside information and the definition of market manipulation
22.12.2003Market AbuseEuropean CommissionDirectiveDirective 2003/125/EC implementing Directive 2003/6/EC as regards the fair presentation of investment recommendations and the disclosure of conflicts of interest
22.12.2003Market AbuseEuropean CommissionRegulationRegulation (EC) No 2273/2003 implementing Directive 2003/6/EC as regards exemptions for buy-back programmes and stabilisation of financial instruments
15.11.2013BenchmarksCommittee on Economic and Monetary AffairsDraft ReportDraft 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
15.11.2013MMFCommittee on Economic and Monetary AffairsDraft ReportDraft report on the proposal for a regulation of the European Parliament and of the Council on Money Market Funds
13.11.2013ELTIFCommittee on Economic and Monetary AffairsDraft ReportDraft report on the proposal for a regulation of the European Parliament and of the Council on European Long-term Investment Funds
19.03.2013FTTCommittee on Economic and Monetary AffairsDraft ReportDraft report on the proposal for a council directive implementing enhanced cooperation in the area of financial transaction tax
13.02.2013CSDsCommittee on Economic and Monetary AffairsReportReport 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
05.10.2012MiFID IICommittee on Economic and Monetary AffairsReportReport on the proposal for a directive on markets in financial instruments repealing Directive 2004/39/EC
28.03.2012Solvency IICommittee on Economic and Monetary AffairsReportReport 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
20.12.2010UCITSCommittee of European Securities Regulators - Now European Securities and Market AuthorityGuidelinesSelection and presentation of performance scenarios in the Key Investor Information document (KIID) for structured UCITS
20.12.2010UCITSCommittee of European Securities Regulators - Now European Securities and Market AuthorityGuidelinesCESR's guide to clear language and layout for the Key Investor Information document
20.12.2010UCITSCommittee of European Securities Regulators - Now European Securities and Market AuthorityGuidelinesCESR's template for the Key Investor Information document
30.08.2010CRACommittee of European Securities Regulators - Now European Securities and Market AuthorityGuidelinesCESR’s Guidance on the enforcement practices and activities to be conducted under Article 21.3(a) of the Regulation
30.08.2010CRACommittee of European Securities Regulators - Now European Securities and Market AuthorityGuidelinesCESR’s Guidance on common standards for assessment of compliance of credit rating methodologies with the requirements set out in Article 8.3
28.07.2010UCITSCommittee of European Securities Regulators - Now European Securities and Market AuthorityGuidelinesCESR's guidelines on Risk Measurement and the Calculation of Global Exposure and Counterparty Risk for UCITS
01.07.2010UCITSCommittee of European Securities Regulators - Now European Securities and Market AuthorityGuidelinesCESR's guidelines on the methodology for the calculation of the synthetic risk and reward indicator in the Key Investor Information Document
01.07.2010UCITSCommittee of European Securities Regulators - Now European Securities and Market AuthorityGuidelinesCESR's guidelines on the methodology for calculation of the ongoing charges figure in the Key Investor Information Document
19.04.2010MiFID ICommittee of European Securities Regulators - Now European Securities and Market AuthorityQuestions and AnswersUnderstanding the definition of advice under MiFID
03.11.2009MiFID ICommittee of European Securities Regulators - Now European Securities and Market AuthorityQuestions and AnswersMiFID complex and non-complex financial instruments for the purposes of the Directive’s appropriateness requirements
09.07.2009MiFID ICommittee of European Securities Regulators - Now European Securities and Market AuthorityQuestions and AnswersCommon positions agreed by CESR Members - 4th updated version - July 2009
15.05.2009MiFID ICommittee of European Securities Regulators - Now European Securities and Market AuthorityQuestions and AnswersCommon positions agreed by CESR Members - 3rd updated version - May 2009
15.05.2009Market AbuseCommittee of European Securities Regulators - Now European Securities and Market AuthorityGuidelinesMarket Abuse Directive Level 3 – Third set of CESR guidance and information on the common operation of the Directive to the market
19.12.2008MiFID ICommittee of European Securities Regulators - Now European Securities and Market AuthorityQuestions and AnswersCommon positions agreed by CESR Members - 2nd updated version - December 2008
03.10.2008Market AbuseCommittee of European Securities Regulators - Now European Securities and Market AuthorityConsultation PaperConsultation paper- MAD Level 3 – Third set of CESR guidance and information on the common operation of the Directive to the market - CESR/08-717
02.10.2008UCITSCommittee of European Securities Regulators - Now European Securities and Market AuthorityGuidelinesCESR's guidelines concerning eligible assets for investment by UCITS (updated September 2008)
20.05.2008Market AbuseCommittee of European Securities Regulators - Now European Securities and Market AuthorityConsultation 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
11.04.2008MiFID ICommittee of European Securities Regulators - Now European Securities and Market AuthorityQuestions and AnswersCommon positions agreed by CESR Members
28.02.2008Market AbuseCommittee of European Securities Regulators - Now European Securities and Market AuthorityFinal ReportCESR 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
22.11.2007Market AbuseCommittee of European Securities Regulators - Now European Securities and Market AuthorityFinal ReportReport on Administrative Measures and Sanctions available in Member States under the Market Abuse Directive (MAD)
12.07.2007Market AbuseCommittee of European Securities Regulators - Now European Securities and Market AuthorityGuidelinesMarket Abuse Directive - Level 3 – Second set of CESR guidance and information on the common operation of the Directive
29.05.2007MiFID ICommittee of European Securities Regulators - Now European Securities and Market AuthorityRecommendationInducements under MiFID
29.05.2007MiFID ICommittee of European Securities Regulators - Now European Securities and Market AuthorityQuestions and AnswersBest Execution under MiFID
29.05.2007MiFID ICommittee of European Securities Regulators - Now European Securities and Market AuthorityRecommendationThe passport under MiFID
09.02.2007MiFID ICommittee of European Securities Regulators - Now European Securities and Market AuthorityGuidelinesPublication 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
09.02.2007MiFID ICommittee of European Securities Regulators - Now European Securities and Market AuthorityRecommendationCESR Level 3 Recommendations on the List of minimum records in article 51(3) of the MiFID implementing Directive
02.11.2006Market AbuseCommittee of European Securities Regulators - Now European Securities and Market AuthorityConsultation PaperConsultation paper- MAD Level 3 – second set of CESR guidance and information on the common operation of the Directive to the market
03.06.2005Market AbuseCommittee of European Securities Regulators - Now European Securities and Market AuthorityQuestions and AnswersMAD Accepted Market Practice (AMPs)
11.05.2005Market AbuseCommittee of European Securities Regulators - Now European Securities and Market AuthorityFeedback statementFeedback Statement- Market Abuse Directive, Level 3 – first set of guidance and information on the common operation of the Directive
11.05.2005Market AbuseCommittee of European Securities Regulators - Now European Securities and Market AuthorityGuidelinesMarket Abuse Directive - Level 3 – first set of CESR guidance and information on the common operation of the Directive
28.10.2004Market AbuseCommittee of European Securities Regulators - Now European Securities and Market AuthorityConsultation PaperConsultation paper- Facilitating the implementation of the Market Abuse Directive
15.07.2002Market AbuseCommittee of European Securities Regulators - Now European Securities and Market AuthorityConsultation PaperCESR’s Advice on possible Level 2 Implementing Measures for the proposed MAD
10.01.2020AMLCommission de Surveillance du Secteur FinancierReport Supranational risk assessment of the money laundering and terrorist financing risks affecting the Union
20.12.2019AMLCommission de Surveillance du Secteur FinancierCircularCircular 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)
06.11.2019AMLCommission de Surveillance du Secteur FinancierCircularCircular CSSF 19/730 on FATF statements
21.01.2019MMFCommission de Surveillance du Secteur FinancierPress ReleasePress 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
20.12.2018AMLCommission de Surveillance du Secteur FinancierCircularCircular CSSF 18/702: Developments regarding the fight against money laundering and terrorist financing (AML/CFT) in the private banking sector
27.11.2018BenchmarksCommission de Surveillance du Secteur FinancierCommunicationCommunication regarding Benchmarks Regulation (only in French)
28.08.2018MMFCommission de Surveillance du Secteur FinancierQuestions and AnswersFrequently Asked Questions concerning the Regulation (EU) 2017/1131 on money market funds
23.08.2018AIFMDCommission de Surveillance du Secteur FinancierCircularCSSF Circular 18/697 on organisational arrangements applicable to depositaries of non-UCITS funds (FR only)
23.08.2018RAIFCommission de Surveillance du Secteur FinancierCircularCSSF Circular 18/697 on organisational arrangements applicable to depositaries of non-UCITS funds (FR only)
23.08.2018SICARCommission de Surveillance du Secteur FinancierCircularCSSF Circular 18/697 on organisational arrangements applicable to depositaries of non-UCITS funds (FR only)
23.08.2018SIFCommission de Surveillance du Secteur FinancierCircularCSSF Circular 18/697 on organisational arrangements applicable to depositaries of non-UCITS funds (FR only)
23.08.2018UCICommission de Surveillance du Secteur FinancierCircularCSSF Circular 18/697 on organisational arrangements applicable to depositaries of non-UCITS funds (FR only)
23.08.2018AIFMDCommission de Surveillance du Secteur FinancierCircularCSSF 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
23.08.2018UCITSCommission de Surveillance du Secteur FinancierCircularCSSF 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
23.08.2018AMLCommission de Surveillance du Secteur FinancierCircularCircular 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
07.08.2018MMFCommission de Surveillance du Secteur FinancierOtherApplication questionnaire for MMF
31.07.2018BenchmarksCommission de Surveillance du Secteur FinancierOtherBenchmark Regulation questionnaire
20.07.2018MMFCommission de Surveillance du Secteur FinancierCircularCircular 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)
13.07.2018EMIRCommission de Surveillance du Secteur FinancierPress ReleasePress release - communication with regard to EMIR reporting
13.03.2018AMLCommission de Surveillance du Secteur FinancierCircularCircular 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
23.02.2018Transparency DirectiveCommission de Surveillance du Secteur FinancierCircularCircular 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
20.02.2018AIFMDCommission de Surveillance du Secteur FinancierApplicationApplication form for autorisation as Alternative Investment Fund Manager (AIFM) (February 20, 2018 updated)
23.01.2018Transparency DirectiveCommission de Surveillance du Secteur FinancierCircularCircular 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
23.01.2018AMLCommission de Surveillance du Secteur FinancierCircularCircular 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
05.01.2018UCICommission de Surveillance du Secteur FinancierQuestions and AnswersFrequently Asked Questions concerning the Luxembourg Law of 17 December 2010 relating to undertakings for collective investment (January 5, 2018 updated)
05.01.2018UCITSCommission de Surveillance du Secteur FinancierQuestions and AnswersFrequently Asked Questions concerning the Luxembourg Law of 17 December 2010 relating to undertakings for collective investment (January 5, 2018 updated)
15.12.2017Transparency DirectiveCommission de Surveillance du Secteur FinancierPress ReleasePress Release 16/02 Enforcement of the 2017 Financial Information Published by Issuers Subject to the Transparency Law
21.11.2017AMLCommission de Surveillance du Secteur FinancierCircularCircular CSSF 07/327 in relation to FATF statement on Iran and guidance regarding the implementation of certain UN resolutions
30.10.2017BenchmarksCommission de Surveillance du Secteur FinancierPress ReleasePress release 17/36 on Regulation (EU) 2016/1011 on indices used as benchmarks (French only)
13.10.2017MiFID IICommission de Surveillance du Secteur FinancierCircularCircular CSSF 17/670
13.10.2017SICARCommission de Surveillance du Secteur FinancierCircularCircular 17/671 on specifications regarding CSSF Regulation N° 16-07 of 26 October 2016 relating to out-of-court complaint resolution (FR only)
13.10.2017SIFCommission de Surveillance du Secteur FinancierCircularCircular 17/671 on specifications regarding CSSF Regulation N° 16-07 of 26 October 2016 relating to out-of-court complaint resolution (FR only)
13.10.2017UCICommission de Surveillance du Secteur FinancierCircularCircular 17/671 on specifications regarding CSSF Regulation N° 16-07 of 26 October 2016 relating to out-of-court complaint resolution (FR only)
13.10.2017UCITSCommission de Surveillance du Secteur FinancierCircularCircular 17/671 on specifications regarding CSSF Regulation N° 16-07 of 26 October 2016 relating to out-of-court complaint resolution (FR only)
31.07.2017MiFID IICommission de Surveillance du Secteur FinancierCircularCircular CSSF 17/665
24.07.2017AMLCommission de Surveillance du Secteur FinancierCircularCircular 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
06.07.2017SICARCommission de Surveillance du Secteur FinancierQuestions and AnswersFrequently 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)
06.07.2017UCICommission de Surveillance du Secteur FinancierQuestions and AnswersFrequently Asked Questions concerning the Luxembourg Law of 17 December 2010 relating to undertakings for collective investment (July 6, 2017 updated)
06.07.2017AIFMDCommission de Surveillance du Secteur FinancierQuestions and AnswersFrequently 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)
06.07.2017SIFCommission de Surveillance du Secteur FinancierQuestions and AnswersFrequently 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)
04.07.2017AMLCommission de Surveillance du Secteur FinancierCircularCircular 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
01.06.2017SecuritisationCommission de Surveillance du Secteur FinancierOtherExplanations concerning the authorisation procedure for a securitisation undertaking
11.05.2017EMIRCommission de Surveillance du Secteur FinancierCommunicationCommuniqué EMIR – Obligations of non-financial counterparties to derivative contracts - CSSF measures and priorities
14.03.2017Market AbuseCommission de Surveillance du Secteur FinancierCircularCircular 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")
17.02.2017AMLCommission de Surveillance du Secteur FinancierCircularCircular 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
11.01.2017Market AbuseCommission de Surveillance du Secteur FinancierCircularCircular 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”)
22.12.2016Transparency DirectiveCommission de Surveillance du Secteur FinancierPress ReleasePress Release 16/46 Compliance of the Issuers with Esma Guidelines on Alternative Performance Measures and Circular CSSF 16/636
20.12.2016Market AbuseCommission de Surveillance du Secteur FinancierCircularCircular 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”)
13.12.2016MiFIRCommission de Surveillance du Secteur FinancierPress ReleasePress Release 16/43 - Communication Regarding Article 26 (Obligation to report transactions) of MiFIR
11.11.2016SICARCommission de Surveillance du Secteur FinancierRegulationCSSF Regulation N° 16-07 relating to out-of-court complaint resolution
11.11.2016SIFCommission de Surveillance du Secteur FinancierRegulationCSSF Regulation N° 16-07 relating to out-of-court complaint resolution
11.11.2016UCITSCommission de Surveillance du Secteur FinancierRegulationCSSF Regulation N° 16-07 relating to out-of-court complaint resolution
11.11.2016UCICommission de Surveillance du Secteur FinancierRegulationCSSF Regulation N° 16-07 relating to out-of-court complaint resolution
11.10.2016UCITSCommission de Surveillance du Secteur FinancierCircularCircular 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)
27.06.2016Transparency DirectiveCommission de Surveillance du Secteur FinancierQuestions and AnswersFrequently 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”)
22.06.2016Transparency DirectiveCommission de Surveillance du Secteur FinancierCircularCircular 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
22.06.2016Transparency DirectiveCommission de Surveillance du Secteur FinancierCircularCircular 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
22.06.2016Transparency DirectiveCommission de Surveillance du Secteur FinancierCircularCircular 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
02.03.2016UCITSCommission de Surveillance du Secteur FinancierPress ReleasePractical issues in relation to the UCITS V regime and depositary aspects in relation to part II UCIs
13.01.2016SIFCommission de Surveillance du Secteur FinancierRegulationCSSF Regulation N° 15-07 laying down detailed rules for the application of Article 42a of the law of 13 February 2007
13.01.2016SICARCommission de Surveillance du Secteur FinancierRegulationCSSF 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
11.01.2016Transparency DirectiveCommission de Surveillance du Secteur FinancierPress ReleasePresse Release 17/43 Enforcement of the 2015 Financial Information Published by Issuers of Securities Subject to the Transparency Law
29.12.2015AIFMDCommission de Surveillance du Secteur FinancierCircularFinancial information to be provided by AIFMs on a quartlerly basis (FR only)
08.12.2015UCICommission de Surveillance du Secteur FinancierQuestions and AnswersFrequently Asked Questions concerning the Luxembourg Law of 17 December 2010 relating to undertakings for collective investment (December 8, 2015)
27.11.2015AIFMDCommission de Surveillance du Secteur FinancierRegulationCSSF 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)
27.11.2015Transparency DirectiveCommission de Surveillance du Secteur FinancierPress ReleasePress Release 15/49 New Transparency Requirements for Issuers of Securities
11.06.2015MiFID ICommission de Surveillance du Secteur FinancierCircularCircular 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)
22.05.2015Transparency DirectiveCommission de Surveillance du Secteur FinancierPress ReleasePress Release 15/23 End of the exemption set out in Article 30(6) of the Transparency Law
05.05.2015AIFMDCommission de Surveillance du Secteur FinancierCircularCSSF 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
27.03.2015UCICommission de Surveillance du Secteur FinancierPress ReleaseBearer shares and units: Warning to holders and issuers (FR only)
27.03.2015UCITSCommission de Surveillance du Secteur FinancierPress ReleaseBearer shares and units: Warning to holders and issuers (FR only)
27.03.2015SIFCommission de Surveillance du Secteur FinancierPress ReleaseBearer shares and units: Warning to holders and issuers (FR only)
27.03.2015SICARCommission de Surveillance du Secteur FinancierPress ReleaseBearer shares and units: Warning to holders and issuers (FR only)
27.03.2015AMLCommission de Surveillance du Secteur FinancierCircularCircular CSSF 15/609 in relation to developments in automatic exchange of tax information and anti-money laundering in tax matters
26.01.2015CRACommission de Surveillance du Secteur FinancierCommunicationCommunique for the attention of entities using rating agencies
30.12.2014UCITSCommission de Surveillance du Secteur FinancierQuestions and AnswersFrequently Asked Questions concerning the Law of 28 July 2014 regarding immobilisation of bearer shares and units (30 December, 2014)
30.12.2014UCICommission de Surveillance du Secteur FinancierQuestions and AnswersFrequently Asked Questions concerning the Law of 28 July 2014 regarding immobilisation of bearer shares and units (30 December, 2014)
30.12.2014SIFCommission de Surveillance du Secteur FinancierQuestions and AnswersFrequently Asked Questions concerning the Law of 28 July 2014 regarding immobilisation of bearer shares and units (30 December, 2014)
30.12.2014SICARCommission de Surveillance du Secteur FinancierQuestions and AnswersFrequently Asked Questions concerning the Law of 28 July 2014 regarding immobilisation of bearer shares and units (30 December, 2014)
02.12.2014MMFCommission de Surveillance du Secteur FinancierCircularCircular 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)
10.10.2014AMLCommission de Surveillance du Secteur FinancierCircularCircular 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).
22.07.2014UCICommission de Surveillance du Secteur FinancierCircularCircular CSSF 14/591 on the protection of investors in case of a material change to an open-ended undertaking for collective investment
22.07.2014UCITSCommission de Surveillance du Secteur FinancierCircularCircular CSSF 14/591 on the protection of investors in case of a material change to an open-ended undertaking for collective investment
28.05.2014UCICommission de Surveillance du Secteur FinancierCircularCSSF Circular 14/588 on the modification of the statistical data collection for money market and non-money market investment funds (FR Only)
28.05.2014UCITSCommission de Surveillance du Secteur FinancierCircularCSSF Circular 14/588 on the modification of the statistical data collection for money market and non-money market investment funds (FR Only)
25.02.2014MiFID ICommission de Surveillance du Secteur FinancierCircularTransposition of European Securities Markets Authorities orientations (ESMA) regarding remunerations policies (MiFID) - Additional Annex V to the CSSF Circular 07/307
13.01.2014AIFMDCommission de Surveillance du Secteur FinancierCircularCircular CSSF 14/581 on new reporting obligations for Alternative Investment Fund Managers
23.10.2013SecuritisationCommission de Surveillance du Secteur FinancierQuestions and AnswersFrequently Asked Questions on Securisation
02.08.2013EuSEFCommission de Surveillance du Secteur FinancierPress ReleaseGuidance in relation to Regulation (EU) NO 345/2013 (EUVECA) and Regulation (EU) NO 346/2013 (EUSEF)
02.08.2013EuVECACommission de Surveillance du Secteur FinancierPress ReleaseGuidance in relation to Regulation (EU) NO 345/2013 (EUVECA) and Regulation (EU) NO 346/2013 (EUSEF)
18.07.2013AIFMDCommission de Surveillance du Secteur FinancierPress ReleasePractical Guidance in relation to the registration or authorisation under the AIFMD law of AIFM established in Luxembourg
24.06.2013UCITSCommission de Surveillance du Secteur FinancierQuestions and AnswersMaster / Feeder Structures Frequently Asked Questions
24.06.2013EMIRCommission de Surveillance du Secteur FinancierPress ReleasePress Release 13/26 Reminder to all concerned entities of the obligations applicable to them under EMIR
28.03.2013UCICommission de Surveillance du Secteur FinancierCircularCircular CSSF 13/564 on modification of the statistical data collections for money market funds and non-money market funds (FR only)
19.02.2013MiFID ICommission de Surveillance du Secteur FinancierCircularCircular CSSF 13/560 transposing the guidelines of the European Securities and Markets Authority (ESMA) concerning Chapter 6 - Suitability test - of Circular CSSF 07/307
18.02.2013UCITSCommission de Surveillance du Secteur FinancierCircularCircular CSSF 13/559 on ESMA guidelines on ETFs and other UCITS issues
23.01.2013EMIRCommission de Surveillance du Secteur FinancierCircularCircular 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)
16.01.2013AMLCommission de Surveillance du Secteur FinancierCircularCircular 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
14.12.2012AMLCommission de Surveillance du Secteur FinancierRegulationCSSF Regulation N°12-02 on the fight against money laundering and terrorist financing
06.09.2012SIFCommission de Surveillance du Secteur FinancierRegulationCSSF 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
17.07.2012Transparency DirectiveCommission de Surveillance du Secteur FinancierCircularCircular 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
09.07.2012UCICommission de Surveillance du Secteur FinancierCircularCircular CSSF 12/540 on non-launched compartments, compartments awaiting reactivation and compartments in liquidation
09.07.2012UCITSCommission de Surveillance du Secteur FinancierCircularCircular CSSF 12/540 on non-launched compartments, compartments awaiting reactivation and compartments in liquidation
09.07.2012SIFCommission de Surveillance du Secteur FinancierCircularCircular CSSF 12/540 on non-launched compartments, compartments awaiting reactivation and compartments in liquidation
20.04.2012SIFCommission de Surveillance du Secteur FinancierPress ReleasePress Release 12/16 Specialised Investment Funds: Entry into force of the Law of 26 March 2012 and information to be provided to the CSSF
27.03.2012MiFID ICommission de Surveillance du Secteur FinancierCircularCircular CSSF 12/536 on guidelines of the European Securities and Markets Authority (ESMA) on systems and controls in an automated trading environment
22.12.2011AMLCommission de Surveillance du Secteur FinancierCircularCircular CSSF 11/529 on risk analysis regarding the fight against money laundering and terrorist financing (AML/CFT)
15.12.2011AMLCommission de Surveillance du Secteur FinancierCircularCircular CSSF 11/528 on abolition of transmission to the CSSF of suspicious transaction reports regarding potential money laundering or terrorist financing
19.07.2011AMLCommission de Surveillance du Secteur FinancierCircularCircular CSSF 11/519 on risk analysis regarding the fight against money laundering and terrorist financing (AML/CFT)
30.05.2011UCITSCommission de Surveillance du Secteur FinancierCircularCircular 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
15.04.2011UCITSCommission de Surveillance du Secteur FinancierCircularCircular 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
10.01.2011UCICommission de Surveillance du Secteur FinancierCircularCircular CSSF 11/498 on entry into force law of 17 December 2010, CSSF Regulations 10-4 and 10-5, and diverse CESR guidelines
10.01.2011UCITSCommission de Surveillance du Secteur FinancierCircularCircular CSSF 11/498 on entry into force law of 17 December 2010, CSSF Regulations 10-4 and 10-5, and diverse CESR guidelines
24.12.2010UCITSCommission de Surveillance du Secteur FinancierRegulationCSSF 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
24.12.2010UCITSCommission de Surveillance du Secteur FinancierRegulationCSSF 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
09.12.2010AMLCommission de Surveillance du Secteur FinancierCircularCircular CSSF 10/495 entry into force of law of 27 October 2010 on the fight against money laundering and terrorist financing
11.10.2010AMLCommission de Surveillance du Secteur FinancierCircularCircular CSSF 10/486 in relation to the fight against money laundering and terrorist financing: amendment of certain provisions of Circular CSSF 03/113
26.08.2010AMLCommission de Surveillance du Secteur FinancierCircularCircular CSSF 10/484 in relation to the fight against money laundering and terrorist financing and amending certain provisions of Circular CSSF 01/27
01.07.2010UCITSCommission de Surveillance du Secteur FinancierCircularCircular 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
11.05.2010AMLCommission de Surveillance du Secteur FinancierCircularCircular CSSF 10/458: Measures concerning the Democratic People's Republic of Korea (DPRK)
01.02.2010UCICommission de Surveillance du Secteur FinancierCircularCircular CSSF 10/437 on guidelines concerning the remuneration policies in the financial sector
01.02.2010UCITSCommission de Surveillance du Secteur FinancierCircularCircular CSSF 10/437 on guidelines concerning the remuneration policies in the financial sector
01.02.2010SIFCommission de Surveillance du Secteur FinancierCircularCircular CSSF 10/437 on guidelines concerning the remuneration policies in the financial sector
01.02.2010EuSEFCommission de Surveillance du Secteur FinancierCircularCircular CSSF 10/437 on guidelines concerning the remuneration policies in the financial sector
01.02.2010EuVECACommission de Surveillance du Secteur FinancierCircularCircular CSSF 10/437 on guidelines concerning the remuneration policies in the financial sector
02.12.2009UCICommission de Surveillance du Secteur FinancierCircularCircular CSSF 09/423 on electronic transmission to the CSSF of long form reports and management letters
02.12.2009UCITSCommission de Surveillance du Secteur FinancierCircularCircular CSSF 09/423 on electronic transmission to the CSSF of long form reports and management letters
16.12.2008Transparency DirectiveCommission de Surveillance du Secteur FinancierOtherCircular 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
23.10.2008SICARCommission de Surveillance du Secteur FinancierCircularCircular CSSF 08/376 on Financial Information to be submitted by investment companies in risk capital (SICARs)
05.09.2008UCICommission de Surveillance du Secteur FinancierCircularCircular CSSF 08/371 on electronic transmission of prospectuses and financial reports of UCIs and SIFs to the CSSF
05.09.2008UCITSCommission de Surveillance du Secteur FinancierCircularCircular CSSF 08/371 on electronic transmission of prospectuses and financial reports of UCIs and SIFs to the CSSF
05.09.2008SIFCommission de Surveillance du Secteur FinancierCircularCircular CSSF 08/371 on electronic transmission of prospectuses and financial reports of UCIs and SIFs to the CSSF
05.09.2008SIFCommission de Surveillance du Secteur FinancierCircularCircular 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
23.07.2008MiFID ICommission de Surveillance du Secteur FinancierCircularCircular 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
27.06.2008Transparency DirectiveCommission de Surveillance du Secteur FinancierCircularCircular CSSF 08/359 Minimum quality standards to be complied with by an officiallyappointed mechanism for the central storage of regulated information
04.06.2008UCICommission de Surveillance du Secteur FinancierCircularCircular CSSF 08/356 on rules applicable to UCI when they employ certain techniques and instruments relating to transferable securities and money market instruments
04.06.2008UCITSCommission de Surveillance du Secteur FinancierCircularCircular CSSF 08/356 on rules applicable to UCI when they employ certain techniques and instruments relating to transferable securities and money market instruments
17.04.2008SIFCommission de Surveillance du Secteur FinancierCircularCircular CSSF 08/348 on Changes to circulars IML 97/136 and CSSF 07/310 (reporting to the CSSF)
19.02.2008UCITSCommission de Surveillance du Secteur FinancierCircularCircular 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
04.01.2008MiFID ICommission de Surveillance du Secteur FinancierCircularCircular CSSF 08/334 on encryption specifications for reporting firms
07.11.2007Market AbuseCommission de Surveillance du Secteur FinancierCircularCircular CSSF 07/323 amending Circular CSSF 07/280 on the implementation rules of the law of 9 May 2006 on market abuse
03.08.2007SIFCommission de Surveillance du Secteur FinancierCircularCircular CSSF 07/309 on risk-spreading in the context of specialised investment funds ("SIF")
03.08.2007SIFCommission de Surveillance du Secteur FinancierCircularCircular CSSF 07/310, as amended by Circular CSSF 08/348, on Financial Information to be provided by specialised investment funds ("SIF")
02.08.2007UCITSCommission de Surveillance du Secteur FinancierCircularCircular 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
31.07.2007MiFID ICommission de Surveillance du Secteur FinancierCircularCircular CSSF 07/307 (as amended by Circular CSSF 13/560) MiFID: Conduct of business rules in the financial sector
27.07.2007MiFID ICommission de Surveillance du Secteur FinancierCircularCircular 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
17.07.2007MiFID ICommission de Surveillance du Secteur FinancierCircularCircular 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
28.02.2007SIFCommission de Surveillance du Secteur FinancierCircularCircular CSSF 07/283 on entry into force of the law of 13 February 2007 relating to specialised investment funds
05.02.2007Market AbuseCommission de Surveillance du Secteur FinancierCircularCircular CSSF 07/280 (as amended by Circular CSSF 07/323) on implementation rules of the law of 9 May 2006 on market abuse
09.01.2007UCITSCommission de Surveillance du Secteur FinancierCircularCircular CSSF 07/277 on new notification procedure in line with CESR guidelines regarding the simplification of the UCITS notification procedure
17.10.2006AMLCommission de Surveillance du Secteur FinancierCircularCircular CSSF 06/263: Combating money laundering and terrorist financing – list of non-cooperative countries and territories (NCCTs)
17.08.2006Market AbuseCommission de Surveillance du Secteur FinancierCircularCircular CSSF 06/257 on entry into force of the law of 9 May 2006 on market abuse
08.06.2006AMLCommission de Surveillance du Secteur FinancierCircularCircular CSSF 06/247: Business relationships and transactions with natural or legal persons of North Korea
05.04.2006SICARCommission de Surveillance du Secteur FinancierCircularCircular CSSF 06/241 on Concept of risk capital under the Law of 15 June 2004 relating to the investment company in risk capital (SICAR)
06.04.2005UCITSCommission de Surveillance du Secteur FinancierCircularCircular 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
27.09.2004UCICommission de Surveillance du Secteur FinancierCircularCircular CSSF 04/155 on the compliance function
17.06.2004UCICommission de Surveillance du Secteur FinancierCircularCircular CSSF 04/146 on protection of UCI and their investors against Late Trading and Market Timing practices
28.02.2003UCICommission de Surveillance du Secteur FinancierCircularCircular CSSF 03/97 on publication of the simplified and full prospectuses as well as the annual and half-yearly reports by UCI
22.01.2003UCICommission de Surveillance du Secteur FinancierCircularCircular CSSF 03/88 on classification of UCI
22.01.2003UCITSCommission de Surveillance du Secteur FinancierCircularCircular CSSF 03/88 on classification of UCI
06.12.2002UCICommission de Surveillance du Secteur FinancierCircularCircular CSSF 02/81 on guidelines concerning the task of auditors of UCI (external audit and longform report)
06.12.2002UCITSCommission de Surveillance du Secteur FinancierCircularCircular CSSF 02/81 on guidelines concerning the task of auditors of UCI (external audit and longform report)
05.12.2002UCICommission de Surveillance du Secteur FinancierCircularCircular CSSF 02/80 on specific rules applicable for UCI pursuing alternative investment strategies
27.11.2002UCICommission de Surveillance du Secteur FinancierCircularCircular 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
27.11.2002UCITSCommission de Surveillance du Secteur FinancierCircularCircular 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
13.06.1997UCICommission de Surveillance du Secteur FinancierCircularCircular IML 97/136 (as amended by Circular CSSF 08/348) on financial information for the IML and STATEC
19.11.2019AMLCommissariat aux AssurancesCircularCircular CAA 19 -18 in relation to FATF statements
15.10.2019AMLCommissariat aux AssurancesCircularCircular CAA 19 -16 introducing a qualitative questionnaire for assessing the risk exposure to money laundering and terrorist financing ("AML/CFT") for life insurance companies
18.03.2019AMLCommissariat aux AssurancesCircularCircular 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
14.03.2019AMLCommissariat aux AssurancesRegulationCAA 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
05.03.2019AMLCommissariat aux AssurancesCircularCircular CAA 19-08 introducing a qualitative questionnaire on the combat against money laundering and terrorist financing ("AML/CFT") for brokers
22.10.2018AMLCommissariat aux AssurancesCircularCircular CAA 18-09 specifying the modalities for introducing new evaluation risk questionnaires of exposure to money laundering and terrorist financing for life insurance companies
10.07.2018EMIRCommissariat aux AssurancesNoteInformation Note and request for information
04.04.2018AMLCommissariat aux AssurancesCircularCircular CAA 18-05 in relation to FATF statements
04.04.2018AMLCommissariat aux AssurancesCircularCircular 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
28.11.2017AMLCommissariat aux AssurancesCircularCircular CAA 17-10 on the application of the new AML questionnaire
09.12.2015Solvency IICommissariat aux AssurancesRegulationRegulation concerning insurance and reinsurance undertakings
23.12.2013AMLCommissariat aux AssurancesRegulationCAA Regulation 13-01 on the fight against money laundering and terrorist financing