EU - Diskussionsprozess: Konsultationspapiere

Standards und Leitlinien

AIFMD

Guidelines

ESMA Consultation Paper Guidelines on Article 25 of Directive 2011/61/EU
Art. 25 AIFMD
(27.03.2020)

ESMA Consultation Paper Guidelines on liquidity stress testing in UCITS and AIFs
Art. 16, 47, 48 AIFMD
(05.02.2019)

Consultation on integrating sustainability risks and factors in the UCITS Directive and AIFM
Art. 12(3), 18(2) AIFMD
(19.12.2018)

ESMA Call for evidence - Asset segregation and custody services
Art. 21(8)(11) AIFMD; Art. 22(5), 22a(4) OGAW; Art. 39(2)(3) EMIR; Art. 38(3)(4) CSDR
(15.07.2016)

BMR

Draft Technical Advice

ESMA Consultation Paper Draft Regulatory Technical Standards under the Benchmarks Regulation
Art. 4 BMR
(09.03.2020)

Draft technical advice under the Benchmarks Regulation
Art. 3(1), 20(1)(c), 24(1), 33, 51(4) BMR
(27.05.2016)

Guidelines

Konsultation zur Festlegung eines gesetzlichen Ersatzreferenzwertes für den CHF-LIBOR
Art. 23, 28 BMR
(26.03.2021)

Proposal for a REGULATION amending Regulation (EU) 2016/1011 on low carbon benchmarks and positive carbon impact benchmarks
Art. 3(1), 13(1),(2), 19a, 27 BMR
(24.05.2018)

ANNEX to the Proposal for a REGULATION amending Regulation (EU) 2016/1011 on low carbon benchmarks and positive carbon impact benchmarks
Art. 3(1), 13(1),(2), 19a, 27 BMR
(24.05.2018)

Consultation Paper - Draft guidelines on non-significant benchmarks
Art. 5(6), 11(6), 13(4), 16(6), 26 BMR
(29.09.2017)

CSDR

RTS

The Operation of the Buy-in Process
Art. 7(15)
(30.06.2015)

Guidelines

Distributed Ledger Technology Applied to Securities Markets
Art. 5 und 11 EMIR; Art. 29 MiFIR; Art. 3, 6, 9, 18(2) und 37 CSDR
(02.06.2016)

Technical Advice under the CSD Regulation
Art. 6(3)
(18.12.2014)

Überarbeitung VO (EU) 909/2014 (CSDR)

Konsultation zur Überprüfung der Zentralverwahrerverordnung (CSDR-Verordnung)
(08.12.2020)

ELTIF

RTS

ESMA consults on draft ELTIF technichal standards
(28.03.2019)

ESMA Consultation Paper Draft regulatory technical standards under Article 25 of the ELTIF Regulation
(28.03.2019)

ESMA

ESMA consults on short-termism in financial markets
(24.06.2019)

ESMA statement on LEI requirements under MiFIR
(20.06.2018)

Feedback statement on the public consultation on the operations of the European Supervisory Authorities
(21.06.2017)

EBA response on the public consultation on the operation of the European Supervisory Authorities
Art. 81 EBA; 81 ESMA; 81 EIOPA
(31.05.2017)

ESMA response to the public consultation on the operations of the European Supervisory Authorities
Art. 81 EBA; 81 ESMA; 81 EIOPA
(31.05.2017)

EIOPA response on the public consultation on the operations of the European Supervisory Authorities
Art. 81 EBA; 81 ESMA; 81 EIOPA
(29.05.2017)

Public consultation on the operations of the European Supervisory Authorities
Art. 81 EBA; 81 ESMA; 81 EIOPA
(22.03.2017)

FinTech

IFR

Konsultationspapier zum Entwurf von RTS zur Offenlegung der Anlagepolitik von Wertpapierfirmen - Annex II
Art. 52 IFR
(31.03.2021)

Konsultationspapier zum Entwurf von RTS zur Offenlegung der Anlagepolitik von Wertpapierfirmen - Annex I
Art. 52 IFR
(31.03.2021)

Konsultationspapier zum Entwurf von RTS zur Offenlegung der Anlagepolitik von Wertpapierfirmen
Art. 52 IFR
(31.03.2021)

MiFID II

RTS

Consultation Paper: Amendment to Commission Delegated Regulation (EU) 2017/588 (RTS 11)
(13.07.2018)

Guidelines

ESMA-Konsultation zu "Guidelines on the MiFID II/ MiFIR obligations on market data"
(09.11.2020)

ESMA starten Konsultation zur Überarbeitung gemeinsamer Richtlinien zur Beurteilung der Eignung von Mitgliedern des Leitungsorgans und Inhaber von Schlüsselpositionen
RL 2013/36/EU und RL 2014/65/EU
(31.07.2020)

ESMA Q&A: MiFid II and MiFIR Transperenca and Market Structure Topics
(29.05.2020)

ESMA Q&A: MIFID II Investor Protection
(28.05.2020)

ESMA Consultation Paper MiFID II/ MiFIR review report on the transparency regime for non-equity instruments and the trading obligation for derivatives
Art. 28, 32, 34, 52 MiFIR; 17(4) to (9) CRD
(10.03.2020)

ESMA Consultation Paper Guidelines on certain aspects of the MiFID II compliance function requirements
(15.07.2019)

Consultation Paper on integrating sustainability risks and factors in MiFID II
Art. 16, 23 MiFID II
(19.12.2018)

Responses to the Consultation Paper - Guidelines on certain aspects of the MiFID II suitability requirements
Art. 25(2) of MiFID II; Art. 54, 55 DVO 2017/565
(18.10.2017)

Consultation Paper - Guidelines on certain aspects of the MiFID II suitability requirements
Art. 25(2) of MiFID II; Art. 54, 55 DVO 2017/565
(13.07.2017)

Draft guidelines on MiFID II product governance requirements
Art. 16(3), 24(2) MiFID II
(05.10.2016)

Assessment of knowledge and competence
Art. 25(9)
(23.04.2015)

On complex debt instruments and structured deposits
Art. 25(10)
(24.03.2015)

On guidelines for cross-selling practices
Art. 24(11)
(22.12.2014)

On the application of C6 and C7 of Annex I of MiFID
Annex I C6, C7
(29.09.2014)

Consultation Paper MiFID II/MiFIR
(22.05.2014)

Discussion Paper MiFID II/MiFIR
(22.05.2014)

Report

ESMA-Konsultation zur Funktionsweise von organisierten Handelssystemen
Art. 90 Abs. 1 lit.a MiFID II
(25.09.2020)

MiFIR

ESMA-Konsultation zu "Guidelines on the MiFID II/ MiFIR obligations on market data"
(09.11.2020)

ESMA-Konsultation zum "MiFIR transparency regime" für Eigenkapitalinstrumente
Art. 52 MiFIR
(04.02.2020)

ESMA Consultation Paper MiFIR report on Systematic Internalisers in non-equity instruments
Art. 9, 18 MiFIR
(03.02.2020)

ESMA Consultation Paper Draft technical standards on the provision of investment services and activities in the Union by third-country firms under MiFID II and MiFIR
Art. 46, 47 MiFIR; Art. 39, 41 MiFID II
(31.01.2020)

Call for evidence: Potential product intervention measures on contracts for differences and binary options to retail clients
Art. 40 MiFIR
(18.01.2018)

Distributed Ledger Technology Applied to Securities Markets
Art. 5 und 11 EMIR; Art. 29 MiFIR; Art. 3, 6, 9, 18(2) und 37 CSDR
(02.06.2016)

On guidelines for cross-selling practices
Art. 24(11)
(22.12.2014)

MMF-Geldmarktfonds

Konsultation zu möglichen Reformen der EU-Geldmarktfondsverordnung (MMFR)
(26.03.2021)

ESMA Consultation Paper Draft guidelines on stress test scenarios under the MMF Regulation
(28.09.2018)

OGAW

Guidelines

ESMA Consultation Paper Guidelines on performance fees in UCITS
(16.07.2019)

CMU ACTION ON CROSS-BORDER DISTRIBUTION OF FUNDS (UCITS, AIF, ELTIF, EUVECA AND EUSEF) ACROSS THE EU
Art. 91-96 OGAW; Kap. VI und VII AIFMD
(02.06.2016)

UCITS share classes
(06.04.2016)

PRIIP

Joint Consultation Paper concerning amendments to the PRIIPs KID
Art. 3, 10(b), 14, 32 PRIIPs Regulation
(16.10.2019)

Final Report following joint consultation paper concerning amendments to the PRIIPs KID
(08.02.2019)

Draft amendments to Commission Delegated Regulation (EU) 2017/653 of 8 March 2017 on key information documents (KID) for PRIIPs
(08.11.2018)

Prospektverordnung

Stellungnahme des Bundesrates zum Gesetzesentwurf zur Ausübung von Optionen der EU-Prospektverordnung und zur Anpassung weiterer Finanzmarktgesetze (BR-Drs. 147/18 (B) - Stellungnahme)
Prospekt-VO
(08.06.2018)

Entwurf eines Gesetzes zur Ausübung von Optionen der EU-Prospektverordnung und zur Anpassung weiterer Finanzmarktgesetze
(01.06.2018)

Responses to the consultation on Draft RTS under the new Prospectus Regulation
Art. 7(13) Prospekt-VO
(22.03.2018)

SMSG Advice - Response to ESMA’s Consultation Paper on draft RTS under the new Prospectus Regulation
Art. 7(13) Prospekt-VO
(19.03.2018)

Draft RTS under the new Prospectus Regulation
Art. 7(13) Prospekt-VO
(15.12.2017)

STS

ESMA Consultation Paper Guidelines on securitisation repository data completeness and consistency thresholds
Art. 4(2)(d), 10 STS
(17.01.2020)

EBA Draft Report on STS Framework for Synthetic Securitisation under Art. 45 of Regulation (EU) 2017/2402
Art. 45 STS; Art. 260, 270 CRR
(24.09.2019)

Final Report Draft RTS on cooperation, exchange of information and notification between competent authorities and ESMA, the EBA and EIOPA under the STS
(08.01.2019)

Final Draft RTS on the homogeneity of the underlying exposures in securitisation under Art. 20(14) and 24(21) of STS laying down a general framework for securitisation and creating a specific framework for simple, transparent and standardised secutirisati
Art. 20(14), 24(21) STS
(31.07.2018)

Draft RTS specifying the requirements for originators, sponsors and original lenders relating to risk retention pursuant to Article [6(7)] of Regulation (EU) [XXX/201X]
Art. 6(7) STS
(31.07.2018)

Consultation Paper - Amendments to the EMIR Clearing Obligation under the Securitisation Regulation
Art. 4(6) EMIR, 42(2) STS
(04.05.2018)

Draft Guidelines on the STS criteria for non-ABCP securitisation
Art. 19(2), 20, 21, 22 STS
(20.04.2018)

Draft Guidelines on the STS criteria for ABCP securitisation
Art. 23(3), 24, 26 STS
(20.04.2018)

Responses to draft technical standards on disclosure requirements, operational standards, and access conditions under the Securitisation Regulation
Art. 7(3)(4), 17(2)(3) STS
(11.04.2018)

Responses to draft technical standards on content and format of the STS notification under the Securitisation Regulation
Art. 27(7) STS
(11.04.2018)

Responses to draft technical standards on third-party firms providing STS verification services under the Securitisation Regulation
Art. 28(4) STS
(11.04.2018)

Draft technical standards on the application for registration as a securitisation repository under the Securitisation Regulation
Art. 10(7)b)-c) STS, 78, 79, 80 EMIR
(23.03.2018)

ESMA’s technical advice on fees for securitisation repositories under the Securitisation Regulation
Art. 16(2) STS
(23.03.2018)

Draft technical standards on content and format of the STS notification under the Securitisation Regulation
Art. 27(7) STS
(19.12.2017)

Draft technical standards on third-party firms providing STS verification services under the Securitisation Regulation
Art. 28(4) STS
(19.12.2017)

SFTR

ESMA Consultation on Guidelines for reporting under Articles 4 and 12 SFTR
(27.05.2019)

ESMA Consultation paper Guidelines for reporting under Articles 4 and 12 SFTR
Art. 4, 12 SFTR
(23.05.2019)

Sonstiges

CMU ACTION ON CROSS-BORDER DISTRIBUTION OF FUNDS (UCITS, AIF, ELTIF, EUVECA AND EUSEF) ACROSS THE EU
Art. 91-96 OGAW; Kap. VI und VII AIFMD
(02.06.2016)

Draft guidelines for the assessment of knowledge and competence
(23.04.2015)