Professional Documents
Culture Documents
Esma Guidelines
Esma Guidelines
Overarching directive Title Legal basis Consultation paper Feedback Final report Translation in official languages Date of application Compliance table Peer reviews
Guidelines on the application of the endorsement regime under Article 4 (3) of 18/03/2011 - 31/03/2011 18/05/2011 These guidelines do not require
the Credit Rating Agencies Regulation No 1060/2009 (Annex I of the Final Art 21(3) Responses N/A 18-May-11 implementation by the Member None at present
Report) 2011/97 2011/139 States.
04/04/2017 - 03/07/2017 17/11/2017
Update of the Guidelines on the application of the endorsement regime under Art 21(3) Responses None at present 01/01/2019 None at present None at present
Article 4 (3) of the Credit Rating Agencies Regulation No 1060/2009 ESMA33-9-159 ESMA33-9-205
Guidelines and Recommendations regarding the implementation of the CPSS- No consultation conducted (Pursuant to Art 16(2) of Regulation 04/09/2014 16/02/2016
IOSCO Principles for Financial Market Infrastructures in respect of Central Own initiative (16 ESMAR) 1095/2010, ESMA does not need to conduct open public No consultation conducted. No consultation conducted. 04-Sep-14 None at present
Counterparties consultations when considered unnecessary. 2014/1133 2016/275
04/06/2013 03/10/2013 16/02/2016
Guidelines and Recommendations regarding written agreements between
Own initiative (16 ESMAR) No consultation paper. See page 5 of final report for reasoning. No consultation conducted. 03-Oct-13 None at present
members of CCP colleges
2013/661 2013/1390 2016/273
20/12/2012 - 31/01/2013 10/06/2013 10/06/2013 16/02/2016
Guidelines and Recommendations for establishing consistent, efficient and
Art 54(4) Responses 10-Jun-13 None at present
effective assessments of interoperability arrangements
2012/852 2013/323 2013/322 2016/274
31/01/2017 - 31/03/2017 24/08/2017
EMIR [Regulation (EU) No 648/2012]
Guidelines on transfer of data between TRs Own initiative (16 ESMAR) Responses None at present None at present None at present None at present
ESMA70-708036281-17 ESMA70-151-552
01/07/2017 - 24/08/2017
Guidelines on CCP conflicts of interest management Own initiative (16 ESMAR) None at present None at present None at present None at present None at present None at present
ESMA70-151-291
15/11/2017 - 15/01/2018
Own initiative (16 ESMAR) None at present None at present None at present None at present None at present None at present
ESMA’s Guidelines on position calculation under EMIR
ESMA70-151-819
Under consultation 08/01/2018 - 28/02/2018
Draft Guidelines on Anti-Procyclicality Margin Measures for Central Own initiative (16 ESMAR) None at present None at present None at present None at present None at present None at present
Counterparties ESMA70-151-1013
Joint Guidelines on the convergence of supervisory practices relating to the 12/03/2014 - 12/06/2014 22/12/2014 22/12/2014 22/12/2015
Financial Conglomerates Directive (FICOD) [Directive 2002/87/EC] consistency of supervisory coordination arrangements for financial Subparagraph 3 of Art 11(1) Responses 23-Feb-15 None at present
conglomerates JC/CP/2014/02 JC/GL/2014/01 JC/GL/2014/01 JC/2015/087
28/01/2016 13/07/2016 10/11/2016 17/03/2017
Guidelines for persons receiving market soundings Art 11(11) Responses 10/01/2017 (update 08/03/2017) None at present
2016/162 2016/1130 2016/1477 ESMA70-145-66
Guidelines on legitimate interests of issuers to delay disclosure of inside 28/01/2016 13/07/2016 20/10/2016 17/03/2017
Market Abuse Regulation (MAR) [Regulation (EU) No 596/2014] information and situations in which the delay of disclosure is likely to mislead the Art 17(11) Responses 20/12/2016 (update 08/03/2017) None at present
public 2016/162 2016/1130 2016/1478 ESMA70-145-67
Guidelines on MAR - information relating to commodity derivatives markets or 28/01/2016 30/09/2016 28/08/2017
related spot markets for the purpose of the definition of inside information on Article 7(5) Responses 17/01/2017 (ESMA/2016/1480) 17/03/2017 None at present
Alternative Investment Funds Directive (AIFMD) [Directive 2011/61/EU] commodity derivatives 2016/162 2016/1412 ESMA70-145-153
29/09/2014 - 05/01/2015 06/05/2015 20/10/2015 14/08/2015
Guidelines on the application of the definitions in Sections C6 and C7 of Annex I
Own initiative (16 ESMAR) Responses 07-Aug-15 None at present
of Directive 2004/39/EC (MiFID)
2014/1189 2015/675 2015/1341 ESMA/2015/1261
21/04/2017
13/02/2014 - 14/05/2015 30/06/2015 05/10/2015
Guidelines on Alternative Performance Measures Own initiative (16 ESMAR) Responses 03-Jul-16 None at present
ESMA32-67-184
2014/175 2015/1057 2015/1415
Guidelines on sound remuneration policies under the UCITS Directive and 23/07/2015 - 23/10/2015 31/03/2016 14/10/2016 4/10/2-17
AIFMD Art14a(4) Responses 01-Jan-17 None at present.
(AIFMD policies) 2015/1172 2016/411 2016/579 ESMA34-32-316
24/03/2014
20/12/2013 - 31/01/2014 01/08/2014 12/04/2016
2014/294
Guidelines on ETFs and other UCITS issues Own initiative (16 ESMAR) Responses 01-Aug-14 None at present
2013/1974 Consolidated version 2014/937 2016/602
ESMA/2014/937
19/04/2010 - 31/05/2010
UCITS Directive [Directive 2009/65/EC]
CESR/10-108
29/09/2017 - 30/11/2017
Article 5(6) BMR Not at present Not at present Not at present Not at present Not at present Not at present
Benchmarks Regulation (BMR) [(EU) 2016/1011] draft Guidelines for non-significant benchmarks ESMA70-145-105