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241 entries found on 13 pages. starting on record 1 ending on 20

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Title: Review of the Implementation of EBA-ESMA Recommendations to Euribor-EBF
Series Title: European Banking Authority and European Securities and Markets Authority Report
Author (Corp. Body): European Banking Authority | European Securities and Markets Authority
Year: 2014
ISBN / ISSN / Kat.Nr: ESMA/2014/207
Language: en
Ressource: Einzelne Berichte, Studien
Keyword: Banking SystemBenchmarkingEU countries
Subject: Financial institutions. Credit systems. Payment systems
Countries Scheme: Europe. General Resources
Online Ressource: vorübergehend nicht erreichbar!
Bitte beachten Sie die urheberrechtlichen Bedingungen der Dokumentenbenutzung / Please observe the copyright when accessing the document | Quelle / Source: European Banking Authority (http://www.eba.europa.eu/)
Title: EBA, EIOPA and ESMA Final Report On Mechanistic references to credit ratings in the ESAs’ guidelines and
recommendations : (JC 2014 004) ; London, Frankfurt, Paris 06 February 2014
Author (Corp. Body): European Securities and Markets Authority | European Banking Authority
Year: 2014
ISBN / ISSN / Kat.Nr: JC 2014 004
Language: en
Ressource: Anleitungen, Checklisten, Leitfäden, Lehrmaterial | Einzelne Berichte, Studien
Keyword: EUcredit policycredit system
Subject: Financial institutions. Credit systems. Payment systems
Countries Scheme: Europe. General Resources
Online Ressource: vorübergehend nicht erreichbar!
Bitte beachten Sie die urheberrechtlichen Bedingungen der Dokumentenbenutzung / Please observe the copyright when accessing the document | Quelle / Source: European Banking Authority (http://www.eba.europa.eu/)
Title: Final report : Draft technical standards under Article 10a(8) of MiFID on the assessment of acquisitions and increases
in qualifying holdings in investment firms
Author (Corp. Body): European Securities and Markets Authority
Year: 2013
ISBN / ISSN / Kat.Nr: ESMA/2013/1940
Language: en
Ressource: Einzelne Berichte, Studien
Keyword: Investmentinformation exchange
Subject: Financial institutions. Credit systems. Payment systems
Online Ressource: vorübergehend nicht erreichbar!
Bitte beachten Sie die urheberrechtlichen Bedingungen der Dokumentenbenutzung / Please observe the copyright when accessing the document | Quelle / Source: European Securities and Markets Authority (http://www.esma.europa.eu/)
Title: Decision given by the Board of Appeal of the European Supervisory Authorities under Article 60.4 Regulation (EU) No
1095/2010 in an Appeal by Global Provate Rating Company "Standard Rating" Ltd against a decision of the European
Securities and Markets Authorities
Abstract
Board of Appeal of the European Supervisory Authorities dismisses appeal made by a refused CRA-applicant against ESMAOn 10 January 2014, the Board of Appeal of the European Supervisory Authorities handed down its decision on an appeal by the appellant, Global Private Rating Company “Standard Rating” Ltd, against the refusal by the European Securities and Markets Authority (ESMA) to register it as a credit rating agency. This is the first appeal against a decision by ESMA refusing an applicant registration as a credit rating agency.The Board of Appeal unanimously decided that the appeal should be dismissed, and that ESMA’s refusal decision should be confirmed. It stated that it accepted the appellant’s point that the registration of a credit rating agency by ESMA is a new process, and recognised that the procedures will to an extent take time fully to work out. Nevertheless, because of the responsibilities placed on credit rating agencies and their importance in the financial system generally, it considered that the onus must be on an applicant to satisfy ESMA that the relevant requirements are met. The application and its contents must be very clear, and it is not ESMA’s responsibility as regulator to remedy deficiencies.[Copyright vide Author]
Author (Corp. Body): European Securities and Markets Authority
Year: 2014
ISBN / ISSN / Kat.Nr: BoA 2013-14
Language: en
Ressource: Einzelne Urteilstexte
Keyword: credit institution
Subject: Financial institutions. Credit systems. Payment systems
Online Ressource: vorübergehend nicht erreichbar!
Bitte beachten Sie die urheberrechtlichen Bedingungen der Dokumentenbenutzung / Please observe the copyright when accessing the document | Quelle / Source: European Securities and Markets Authority
Title: Questions and answers : prospectuses : 21st updated version - January 2014
Abstract
ESMA updated today its Q&A on prospectus related issues by including two new questions and answers. The newly added items concern the format of the individual summary for several securities and the applicable registration document schedule where a listed issuer proposes to issue convertible or exchangeable debt securities where the underlying securities are the issuer’s shares. The purpose of the Q&A document is to promote common supervisory approaches and practices in the application of the Prospectus Directive (PD) and its implementing measures. This is achieved by providing responses to questions received by the general public and competent authorities in relation to the practical application of the PD. The Q&A is aimed at competent authorities who carry supervisory responsibility under the PD and aims at ensuring convergence in supervisory activities across the EU.[Author vide Copyright]
Series Title: European Securities and Markets Authority - ESMA questions and answers
Author (Corp. Body): European Securities and Markets Authority
Year: 2014
ISBN / ISSN / Kat.Nr: ESMA/2014/35
Language: en
Ressource: Sonstige Volltexte und Quellen
Subject: Financial institutions. Credit systems. Payment systems
Online Ressource: vorübergehend nicht erreichbar!
Bitte beachten Sie die urheberrechtlichen Bedingungen der Dokumentenbenutzung / Please observe the copyright when accessing the document | Quelle / Source: European Securities and Markets Authority (http://www.esma.europa.eu/)
Title: Final report : ESMA's technical advice to the Commission on procedural rules to impose fines and periodic penalty
payments to Trade Repositories
Abstract
This document sets out a summary of the responses received by ESMA regarding the procedural rules to impose fines and periodic penalty payments to TRs and includes ESMA’s final technical advice to the Commission on the future Regulation on the procedural rules to impose fines and periodic penalty payments to TRs which will be adopted by the Commission in the form of a delegated act.[Author vide Copyright]
Author (Corp. Body): European Securities and Markets Authority
Year: 2013
ISBN / ISSN / Kat.Nr: ESMA/2013/1965
Language: en
Ressource: Einzelne Berichte, Studien
Keyword: Market Economy
Subject: Investments. Investment policy
Countries Scheme: Europe. General Resources
Online Ressource: vorübergehend nicht erreichbar!
Bitte beachten Sie die urheberrechtlichen Bedingungen der Dokumentenbenutzung / Please observe the copyright when accessing the document | Quelle / Source: European Securities and Markets Authority (http://www.esma.europa.eu/)
Title: Supplement to the final report : technical advice on third country regulatory equivalence under EMIR - Japan
Abstract
ESMA delivers second set of advice on EMIR equivalenceFollowing its technical advice published on 9 September 2013, the European Securities and Market Authority (ESMA) has published a supplement to its advice to the European Commission on the equivalence of the regulatory regime for central counterparties (CCPs) of Japan with the European Markets Infrastructure Regulation (EMIR).This supplement to the September 2013 Final report sets out ESMA’s advice to the European Commission is in respect of the equivalence between the Japanese regulatory regime for commodity CCPs and the regulatory regime for CCPs under EMIR. ESMA proposes conditional equivalence As for ESMA’s advice to the Commission in respect of Japan for CCPs which clear transactions relating to securities, currencies, interest rates, credit, weather, GDP and other indices, ESMA considers that the Japanese regulatory regime for commodity CCPs contains legal provisions and involves supervision and enforcement similar to that of EMIR. The Commission is expected to use ESMA’s technical advice to prepare possible equivalence decisions. Where it adopts such a decision, certain provisions of EMIR may be disapplied in favour of equivalent third-country rules. In particular, ESMA may recognise within the EU a CCP which is authorised outside the EU.[Author vide Copyright]
Author (Corp. Body): European Securities and Markets Authority
Year: 2014
ISBN / ISSN / Kat.Nr: ESMA/2014/123
Language: en
Ressource: Einzelne Berichte, Studien
Keyword: EUJapanmarket economy
Subject: Economic conditions. Economic structure
Countries Scheme: Europe. General ResourcesJapan
Online Ressource: vorübergehend nicht erreichbar!
Bitte beachten Sie die urheberrechtlichen Bedingungen der Dokumentenbenutzung / Please observe the copyright when accessing the document | Quelle / Source: European Securities and Markets Authority (http://www.esma.europa.eu/)
Title: Leitlinien für solide Vergutungspolitiken unter Berücksichtigung der AIFMD
Title (other): Guidelines on sound remuneration policies under the AIFMD | Orientations relatives aux politiques de rémunération
applicables aux gestionnaires de fonds d’investissement alternatifs : Version corrigée datée du 30.01.2014 des
Orientations relatives aux politiques de rémunération applicables aux gestionnaires de fonds d’investissement
alternatifs (ESMA/2013/232) publiées le 03.07.2013
Author (Corp. Body): European Securities and Markets Authority
Year: 2013
ISBN / ISSN / Kat.Nr: ESMA/2013/232
Language: en | de | fr
Ressource: Einzelne Berichte, Studien
Keyword: Payment schemeEUremuneration
Subject: Investments. Investment policy
Countries Scheme: Europe. General Resources
Online Ressource: vorübergehend nicht erreichbar!
Bitte beachten Sie die urheberrechtlichen Bedingungen der Dokumentenbenutzung / Please observe the copyright when accessing the document | Quelle / Source: European Securities and Markets Authority (http://www.esma.europa.eu/)
Title: European Securities and Markets Authority (ESMA) : Budget for 2014
Author (Corp. Body): European Securities and Markets Authority
Year: 2014
ISBN / ISSN / Kat.Nr: ESMA/2014/140
Language: en
Ressource: Einzelne Geschäfts- und Jahresberichte
Subject: European Community committees
Online Ressource: vorübergehend nicht erreichbar!
Bitte beachten Sie die urheberrechtlichen Bedingungen der Dokumentenbenutzung / Please observe the copyright when accessing the document | Quelle / Source: European Securities and Markets Authority (http://www.esma.europa.eu/)
Title: Leitlinien zu einigen Aspekten der MiFID-Anforderungen an die Compliance-Funktion
Title (other): Guidelines on certain aspects of the MiFID compliance function requirements | Orientations concernant certains aspects
de la directive MIF relatifs aux exigences de la fonction de vérification de la conformité
Author (Corp. Body): European Securities and Markets Authority
Year: 2012
ISBN / ISSN / Kat.Nr: ESMA/2012/388
Language: en | de | fr
Ressource: Normen und Standards
Keyword: Risk managementinvestmentrisk
Subject: Investments. Investment policy
Countries Scheme: Europe. General Resources
Online Ressource: vorübergehend nicht erreichbar!
Bitte beachten Sie die urheberrechtlichen Bedingungen der Dokumentenbenutzung / Please observe the copyright when accessing the document | Quelle / Source: European Securities and Markets Authority (http://www.esma.europa.eu/)
Title: Summary of conclusions : Security and Market Stakeholder Group
Author (Corp. Body): European Securities and Markets Authority
Year: 2014
ISBN / ISSN / Kat.Nr: 2013/SMSG/012
Language: en
Ressource: Sammlungen von Berichten, Studien
Subject: European Community committees
Countries Scheme: Europe. General Resources
Online Ressource: vorübergehend nicht erreichbar!
Bitte beachten Sie die urheberrechtlichen Bedingungen der Dokumentenbenutzung / Please observe the copyright when accessing the document | Quelle / Source: European Securities and Markets Authority (http://www.esma.europa.eu/)
Title: Summary of conclusions : Board of Supervisors
Author (Corp. Body): European Securities and Markets Authority
Year: 2014
ISBN / ISSN / Kat.Nr: ESMA/2014/BS/1
Language: en
Ressource: Einzelne Berichte, Studien
Subject: European Community committees
Countries Scheme: Europe. General Resources
Online Ressource: vorübergehend nicht erreichbar!
Bitte beachten Sie die urheberrechtlichen Bedingungen der Dokumentenbenutzung / Please observe the copyright when accessing the document | Quelle / Source: European Securities ans Markets Authority (http://www.esma.europa.eu/)
Title: Implementation of the Regulation (EU) No 648/2012 on OTC derivatives, central counterparties and trade repositories
(EMIR)
Abstract
ESMA provides further details on trade reporting in updated EMIR Q&AThe European Securities and Markets Authority (ESMA) has issued today updated Question & Answers (Q&As) on the implementation of the European Markets Infrastructure Regulation (EMIR). These updated Q&As clarify, among others, issues related to reporting to trade repositories (TRs) such as on how to construct and generate Unique Trade Identifiers (UTI), the reporting of empty/not available fields and the UPI taxonomy. ESMA appreciates that it will require a certain amount of time for both reporting firms and TRs to properly incorporate this further guidance. Other areas covered by the updated Q&A include OTC derivatives and CCP requirements.[Author vide Copyright]
Series Title: Questions and Answers
Author (Corp. Body): European Securities and Markets Authority
Year: 2014
ISBN / ISSN / Kat.Nr: ESMA/164
Language: en
Ressource: Sammlungen von Berichten, Studien
Keyword: Financial marketFiscal Policyinvestment
Subject: Investments. Investment policy
Countries Scheme: Europe. General Resources
Online Ressource: vorübergehend nicht erreichbar!
Bitte beachten Sie die urheberrechtlichen Bedingungen der Dokumentenbenutzung / Please observe the copyright when accessing the document | Quelle / Source: European Securities and Markets Authority (http://www.esma.europa.eu/)
Title: ESMA 2014 Regulatory Work Programme
Author (Corp. Body): European Securities and Markets Authority
Year: 2014
ISBN / ISSN / Kat.Nr: 2014/172
Language: en
Ressource: Einzelne Berichte, Studien
Subject: European Community committees
Countries Scheme: Europe. General Resources
Online Ressource: vorübergehend nicht erreichbar!
Bitte beachten Sie die urheberrechtlichen Bedingungen der Dokumentenbenutzung / Please observe the copyright when accessing the document Quelle / Source: European Security and Markets Authority (http://www.esma.europa.eu/)
Title: ESMA Guidelines on Alternative Performance Measures
Abstract
ESMA is issuing this Consultation Paper (CP) to inform market participants about the background to its decision to revise the CESR Recommendation and seek their views on such revision.Section II “Introduction” indicates the reasons for which ESMA believes that these [draft] guidelines on APMs should be issued.Section III “Scope and purpose of the [draft] guidelines” indicates when the [draft] guidelines apply and how these [draft] guidelines interact with financial statements.Section IV “Compliance and reporting obligations” describes how issuers and NCAs should comply with the [draft] guidelines.Section V “[Draft] Guidelines on APMs (Background)” describes the rationale followed in preparing the [draft] guidelines and explanations on the principles provided, which are included in full in Annex III.ESMA would appreciate any comments and answers from stakeholders on the questions contained in the consultation paper. For your convenience, the questions are summarised in annex II.[Author vide Copyright]
Author (Corp. Body): European Securities and Markets Authority
Year: 2014
ISBN / ISSN / Kat.Nr: ESMA/2014/175
Language: en
Ressource: Sammlungen von Berichten, Studien
Subject: Public finance. Taxation
Countries Scheme: Europe. General Resources
Online Ressource: vorübergehend nicht erreichbar!
Bitte beachten Sie die urheberrechtlichen Bedingungen der Dokumentenbenutzung / Please observe the copyright when accessing the document | Quelle / Source: European Securities and Markets Authority (http://www.esma.europa.eu/)
Title: Questions and answers : application of the AIFMD
Abstract
The European Securities and Markets Authority (ESMA) published today Question and Answers (Q&As) on the Alternative Investment Fund Managers Directive (AIFMD). The purpose of this document is to promote common supervisory approaches and practices in the application of the AIFMD and its implementing measures. It does this by providing responses to questions posed by the general public and competent authorities in relation to the practical application of the AIFMD. The content of this document is aimed at competent authorities under AIFMD to ensure that in their supervisory activities their actions are converging along the lines of the responses adopted by ESMA. However, the answers are also intended to help AIFMs by providing clarity as to the content of the AIFMD rules, rather than creating an extra layer of requirements.The AIFMD puts in place a comprehensive framework for the regulation of alternative investment fund managers within Europe. The extensive requirements with which AIFMs must comply are designed to ensure that these managers can manage AIFs on a cross-border basis and the AIFs that they manage can be sold on a cross-border basis.[Author vide Copyright]
Series Title: European Securities and Markets Authority - ESMA questions and answers
Author (Corp. Body): European Securities and Markets Authority
Year: 2014
ISBN / ISSN / Kat.Nr: ESMA/2014/163
Language: en
Ressource: Einzelne Berichte, Studien
Subject: Investments. Investment policy
Countries Scheme: Europe. General Resources
Online Ressource: vorübergehend nicht erreichbar!
Bitte beachten Sie die urheberrechtlichen Bedingungen der Dokumentenbenutzung / Please observe the copyright when accessing the document | Quelle / Source: European Securities and Markets Authority (http://www.esma.europa.eu/)
Title: Credit rating agencies : annual report 2013
Abstract
The European Securities and Markets Authority (ESMA) has published its Annual Report 2013 (Report) on credit rating agencies (CRAs) in the European Union (EU). The Report also outlines ESMA’s supervisory work plan for this year.ESMA has found that CRAs continue to progress in how they comply with the CRA Regulation, including improved internal transparency and disclosure to the market on credit rating activities as well as empowerment of the compliance function. However, ESMA considers that improvements are still necessary, notably in the following areas:• validation of rating methodologies, to ensure that a credit rating assessment is a comprehensive risk assessment leading to high quality ratings;• internal governance, ensuring the full independence of the internal review function and thereby reducing the risk of potential conflict of interest; and• robust IT systems to support the rating process, including information security controls and protection of confidential rating information.These issues form the basis for much of ESMA’s supervision activities as outlined in its 2014 work plan. This includes the completion of the two on-going supervisory reviews into CRAs’ monitoring of structured finance ratings and into small and medium-sized CRAs. A new thematic investigation on how CRAs review and validate their rating methodologies will also be launched, as well as dedicated work on CRAs’ IT systems and controls. Following the entry into force of the amended CRA Regulation in June 2013, ESMA will also complete a specific assessment on CRAs’ compliance with the new regulatory requirements.[Author vide Copyright]
Author (Corp. Body): European Securities and Markets Authority
Year: 2014
ISBN / ISSN / Kat.Nr: ESMA/2014/151
Language: en
Ressource: Einzelne Berichte, Studien
Keyword: ExchangeFinancial market
Subject: Financial institutions. Credit systems. Payment systems
Countries Scheme: Europe. General Resources
Online Ressource: vorübergehend nicht erreichbar!
Bitte beachten Sie die urheberrechtlichen Bedingungen der Dokumentenbenutzung / Please observe the copyright when accessing the document | Quelle / Source: European Securities and Markets Authority (http://www.esma.europa.eu/)
Title: Leitlinien zu Schlüsselbegriffen der Richtlinie über die Verwalter alternativer Investmentfonds (AIFMD) : Berichtigte
Fassung vom 30.01.2014 der am 13.08.2013 veroeffentlichten Leitlinien zu Schluesselbegriffen der Richtlinie ueber die
Verwalter alternativer Investmentfonds (ESMA/2013/611)
Title (other): Guidelines on key concepts of the AIFMD | Orientations relatives aux notions essentielles contenues dans la directive
sur les gestionnaires de fonds d’investissement alternatifs
Series Title: Leitlinien | Guidelines | Orientations
Author (Corp. Body): European Securities and Markets Authority
Year: 2013
ISBN / ISSN / Kat.Nr: ESMA/2013/611
Language: en | de | fr
Ressource: Anleitungen, Checklisten, Leitfäden, Lehrmaterial
Keyword: Investment
Subject: Financing. Private finance. Financial policy
Countries Scheme: Europe. General Resources
Online Ressource: vorübergehend nicht erreichbar!
Bitte beachten Sie die urheberrechtlichen Bedingungen der Dokumentenbenutzung / Please observe the copyright when accessing the document | Quelle / Source: European Securities and Markets Authority (http://www.esma.europa.eu/)
Title: ESMA risk dashboard : no. 1, 2014
Series Title: European Securities and Markets Authority - ESMA risk dashboard ; 2015,1
Author (Corp. Body): European Securities and Markets Authority
Year: 2014
ISBN / ISSN / Kat.Nr: ESMA/2014/0197
Language: en
Ressource: Einzelne Berichte, Studien
Keyword: Investment policyRisk
Subject: Investments. Investment policy
Countries Scheme: Europe. General Resources
Online Ressource: vorübergehend nicht erreichbar!
Bitte beachten Sie die urheberrechtlichen Bedingungen der Dokumentenbenutzung / Please observe the copyright when accessing the document | Quelle / Source: European Securities and Markets Authority (http://www.esma.europa.eu)
Title: ESMA report on trends, risks and vulnerabilities : No. 1, 2014
Series Title: ESMA reports on trends, risks and vulnerabilities
Author (Corp. Body): European Securities and Markets Authority
Year: 2014
ISBN / ISSN / Kat.Nr: ESMA/2014/0188
Language: en
Ressource: Einzelne Berichte, Studien
Keyword: Financial marketInvestmentRisk
Subject: Investments. Investment policy
Countries Scheme: Europe. General Resources
Online Ressource: vorübergehend nicht erreichbar!
Bitte beachten Sie die urheberrechtlichen Bedingungen der Dokumentenbenutzung / Please observe the copyright when accessing the document | Quelle / Source: European Securities and Markets Authority (http://www.esma.europa.eu/)
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