• Updated: 20 Apr 2017
• Status: In Force
• Dossier: 14238

Commission Delegated Regulation (EU) 2017/586 supplementing Directive 2014/65/EU (MiFID II) with regard to Regulatory Technical Standards (RTS) for the exchange of information between competent authorities when cooperating in supervisory activities, on-the-spot verifications and investigations

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Other regulatory updates in this category 219

• New

  OTC Derivatives (EMIR): Ensuring Safety and Soundness of CCPs with Systemic Relevance for EU

  • Updated: 17 Apr 2018
  • Status: Current Proposals
  • Dossier: 16858

  Open

• New

  Financial Transaction Tax (Enhanced Cooperation)

  • Updated: 29 Mar 2018
  • Status: Current Proposals
  • Dossier: 9285

  Open

• New

  MiFIR: Temporary Exclusion of Exchange Traded Derivatives From Articles 35 and 36 (Report)

  • Updated: 27 Mar 2018
  • Status: Current Proposals
  • Dossier: 15417

  Open

• New

  Recovery and Resolution of CCPs

  • Updated: 27 Mar 2018
  • Status: Current Proposals
  • Dossier: 9003

  Open

• New

  OTC Derivatives (EMIR): Revision

  • Updated: 20 Mar 2018
  • Status: Current Proposals
  • Dossier: 16130

  Open

• New

  Securities: Law Applicable to Third-Party Effects of Assignment of Claims

  • Updated: 12 Mar 2018
  • Status: Current Proposals
  • Dossier: 8997

  Open

• New

  Securities: Applicable Law to Proprietary Effects of Transactions (Communication)

  • Updated: 12 Mar 2018
  • Status: Current Proposals
  • Dossier: 18149

  Open

• New

  Capital Markets Union: Measures to be Taken to Complete CMU by 2019

  • Updated: 08 Mar 2018
  • Status: Current Proposals
  • Dossier: 18150

  Open

• New

  MiFID II: Exemption for Crowdfunding Service Providers

  • Updated: 08 Mar 2018
  • Status: Current Proposals
  • Dossier: 18154

  Open

• New

  MiFIR: Treatment of Transactions by Third-Country Central Banks

  • Updated: 28 Feb 2018
  • Status: Completed Non-Legislative
  • Dossier: 12731

  Open

• New

  Market Abuse Regulation (MAR): Cooperation Between National Competent Authorities

  • Updated: 28 Feb 2018
  • Status: In Force
  • Dossier: 16966

  Open

• New

  Securities Financing Transactions (SFT): Progress Report on International Effort to Mitigate Risk

  • Updated: 12 Feb 2018
  • Status: Current Proposals
  • Dossier: 15082

  Open

• New

  Benchmarks Regulation (BMR): Definitions

  • Updated: 06 Feb 2018
  • Status: In Force
  • Dossier: 15209

  Open

• New

  Benchmarks Regulation (BMR): Transitional Provisions for Non-Compliant Benchmarks

  • Updated: 06 Feb 2018
  • Status: In Force
  • Dossier: 15222

  Open

• New

  Benchmarks Regulation (BMR): Assessment of Nominal Amounts

  • Updated: 06 Feb 2018
  • Status: In Force
  • Dossier: 15215

  Open

• New

  Benchmarks Regulation (BMR): Criteria of Critical Benchmarks

  • Updated: 06 Feb 2018
  • Status: In Force
  • Dossier: 15908

  Open

• New

  MiFID II: Scope of Non-Equity Tape

  • Updated: 06 Feb 2018
  • Status: In Force
  • Dossier: 16046

  Open

• New

  Simple, Transparent and Standardised Securitisation

  • Updated: 23 Jan 2018
  • Status: In Force
  • Dossier: 13575

  Open

• New

  OTC Derivatives (EMIR): Exemptions to Foreign Central Banks (Second Report)

  • Updated: 16 Jan 2018
  • Status: Completed Non-Legislative
  • Dossier: 16660

  Open

• New

  Single Resolution Mechanism (SRM): Final System of Contributions to Single Resolution Board

  • Updated: 08 Jan 2018
  • Status: In Force
  • Dossier: 13584

  Open

• New

  MiFID II: Switzerland Stock Exchanges Equivalence

  • Updated: 02 Jan 2018
  • Status: In Force
  • Dossier: 17690

  Open

• New

  Financial Benchmarks and Indices: List of Critical Benchmarks (Amendment II)

  • Updated: 30 Dec 2017
  • Status: In Force
  • Dossier: 17617

  Open

• New

  MiFIR: Derivatives Subject to Trading Obligation

  • Updated: 22 Dec 2017
  • Status: In Force
  • Dossier: 16012

  Open

• New

  MiFIR: Package Orders

  • Updated: 18 Dec 2017
  • Status: In Force
  • Dossier: 16224

  Open

• New

  MiFID II: USA National Securities Exchanges and Alternative Trading Systems Equivalence

  • Updated: 15 Dec 2017
  • Status: In Force
  • Dossier: 17691

  Open

• New

  MiFID II: Hong Kong Special Administrative Region Equivalence

  • Updated: 15 Dec 2017
  • Status: In Force
  • Dossier: 17702

  Open

• New

  MiFID II: Australia Financial Markets Equivalence

  • Updated: 15 Dec 2017
  • Status: In Force
  • Dossier: 17703

  Open

• New

  Challenges for Critical Financial Market Infrastructures (Communication)

  • Updated: 14 Dec 2017
  • Status: Completed Non-Legislative
  • Dossier: 16857

  Open

• New

  MiFID II: Systematic Internalisers (Amendment)

  • Updated: 14 Dec 2017
  • Status: In Force
  • Dossier: 17050

  Open

• New

  OTC Derivatives (EMIR): Indirect Clearing (Amendment)

  • Updated: 11 Dec 2017
  • Status: In Force
  • Dossier: 14601

  Open

• New

  MiFIR: Indirect Clearing

  • Updated: 11 Dec 2017
  • Status: In Force
  • Dossier: 14162

  Open

• New

  MiFIR: Equivalent USA Designated Contract Markets and Swap Execution Facilities

  • Updated: 07 Dec 2017
  • Status: In Force
  • Dossier: 17615

  Open

• New

  MiFID: Consultation of Authorities for Acquisitions of Investment Firms

  • Updated: 15 Nov 2017
  • Status: In Force
  • Dossier: 11545

  Open

• New

  MiFID: Information Requirements for Acquisitions of Investment Firms

  • Updated: 15 Nov 2017
  • Status: In Force
  • Dossier: 10660

  Open

• New

  MiFID II: Notifications for Authorisation of Investment Firms

  • Updated: 15 Nov 2017
  • Status: In Force
  • Dossier: 13479

  Open

• New

  MiFID II: Information and Requirements for Authorisation of Investment Firms

  • Updated: 15 Nov 2017
  • Status: In Force
  • Dossier: 13478

  Open

• New

  MiFID II: Notification of Information for Provision of Services & Establishment of Branches

  • Updated: 10 Nov 2017
  • Status: In Force
  • Dossier: 13577

  Open

• New

  OTC Derivatives (EMIR): Equivalence with USA (Non-Cleared OTC Derivatives Transactions)

  • Updated: 03 Nov 2017
  • Status: In Force
  • Dossier: 17495

  Open

• New

  MiFIR: Regulation on Markets in Financial Instruments

  • Updated: 27 Oct 2017
  • Status: In Force
  • Dossier: 8091

  Open

• New

  OTC Derivatives (EMIR): Access to Data Across Trade Repositories

  • Updated: 27 Oct 2017
  • Status: In Force
  • Dossier: 14929

  Open

• New

  MiFIR: Exemptions from Transparency Requirements for Transactions by Third-Country Central Banks

  • Updated: 27 Oct 2017
  • Status: In Force
  • Dossier: 16782

  Open

• New

  Credit Rating Agencies: Alternative Tools, Market Situation, Competition and EU CRA (Report)

  • Updated: 08 Sep 2017
  • Status: Completed Non-Legislative
  • Dossier: 10541

  Open

• New

  OTC Derivatives (EMIR): Review

  • Updated: 25 Jul 2017
  • Status: Completed Non-Legislative
  • Dossier: 9725

  Open

• New

  Securities Prospectus: Revision

  • Updated: 20 Jul 2017
  • Status: In Force
  • Dossier: 13518

  Open

• New

  Market Abuse Regulation (MAR): Exchange of Information with ESMA

  • Updated: 20 Jul 2017
  • Status: In Force
  • Dossier: 17083

  Open

• New

  Dual-Use Exports Control (Recast)

  • Updated: 14 Jul 2017
  • Status: In Force
  • Dossier: 11179

  Open

• New

  MiFID II: Forms, Templates and Procedures for Data Reporting Services Providers

  • Updated: 13 Jul 2017
  • Status: In Force
  • Dossier: 14439

  Open

• New

  MiFID II: Procedures and Forms for Submitting Information on Sanctions and Measures

  • Updated: 13 Jul 2017
  • Status: In Force
  • Dossier: 14932

  Open

• New

  MiFID II: Position Reporting

  • Updated: 11 Jul 2017
  • Status: In Force
  • Dossier: 14121

  Open

• New

  MiFID II: Formats for Suspension and Removal of Financial Instruments from Trading

  • Updated: 06 Jul 2017
  • Status: In Force
  • Dossier: 14437

  Open

• New

  MiFID II: Templates and Procedures for Cooperation of Competent Authorities of Trading Venues

  • Updated: 03 Jul 2017
  • Status: In Force
  • Dossier: 14930

  Open

• New

  MiFID II: Templates and Procedures for Consultation prior to Granting Authorisation

  • Updated: 30 Jun 2017
  • Status: In Force
  • Dossier: 14931

  Open

• New

  MiFID II: Templates and Procedures for Cooperation Between Competent Authorities

  • Updated: 30 Jun 2017
  • Status: In Force
  • Dossier: 14239

  Open

• New

  OTC Derivatives (EMIR): Exempted Entities (Australia, Canada, Hong Kong, Mexico, Singapore, Switzerland )

  • Updated: 30 Jun 2017
  • Status: In Force
  • Dossier: 10074

  Open

• New

  MiFID II: Format and Timing of Weekly Position Reports

  • Updated: 27 Jun 2017
  • Status: In Force
  • Dossier: 14440

  Open

• New

  OTC Derivatives (EMIR): Amended Phase-In Period of Clearing Obligation for Certain Counterparties

  • Updated: 19 May 2017
  • Status: In Force
  • Dossier: 15802

  Open

• New

  MiFID II: Safeguarding Financial Instruments, Product Governance Requirements, Inducements

  • Updated: 20 Apr 2017
  • Status: In Force
  • Dossier: 15438

  Open

• New

  MiFID II: Ancillary Activity to Main Business

  • Updated: 20 Apr 2017
  • Status: In Force
  • Dossier: 14118

  Open

• New

  MiFID II: Position Limits for Commodity Derivatives

  • Updated: 20 Apr 2017
  • Status: In Force
  • Dossier: 14119

  Open

• New

  MiFIR: Transactions Reporting

  • Updated: 20 Apr 2017
  • Status: In Force
  • Dossier: 14127

  Open

• New

  MiFID II: Organisational Requirements for Investment Firms Engaged in Algorithmic Trading

  • Updated: 20 Apr 2017
  • Status: In Force
  • Dossier: 13865

  Open

• New

  MiFID II: Tick Size Regime for Shares, Depositary Receipts, Exchange Traded Funds and Certificates

  • Updated: 20 Apr 2017
  • Status: In Force
  • Dossier: 13875

  Open

• New

  MiFIR: Transparency for Shares, Depositary Receipts, ETFs and Certificates & Similar Instruments

  • Updated: 20 Apr 2017
  • Status: In Force
  • Dossier: 13617

  Open

• New

  MiFIR: Obligation to Supply Financial Instrument Reference Data

  • Updated: 20 Apr 2017
  • Status: In Force
  • Dossier: 14128

  Open

• New

  MiFID II: Organisational Requirements for Trading Venues

  • Updated: 20 Apr 2017
  • Status: In Force
  • Dossier: 13866

  Open

• New

  MiFIR: Non-Equity Transparency

  • Updated: 20 Apr 2017
  • Status: In Force
  • Dossier: 13108

  Open

• New

  MiFIR: Obligation to Clear Derivatives Traded on Regulated Markets and Timing of Acceptance

  • Updated: 20 Apr 2017
  • Status: In Force
  • Dossier: 14161

  Open

• New

  MiFIR: Central Counterparties and Trading Venues Clearing Access

  • Updated: 20 Apr 2017
  • Status: In Force
  • Dossier: 13945

  Open

• New

  MiFIR: Obligation to Maintain Records of Orders

  • Updated: 20 Apr 2017
  • Status: In Force
  • Dossier: 14129

  Open

• New

  MiFIR: Derivatives with Direct, Substantial and Foreseeable Effect

  • Updated: 20 Apr 2017
  • Status: In Force
  • Dossier: 13864

  Open

• New

  MiFID II: Market Making Strategies, Agreements and Schemes

  • Updated: 20 Apr 2017
  • Status: In Force
  • Dossier: 13871

  Open

• New

  MiFIR: Double Volume Cap Mechanism & Information for Transparency and Calculations

  • Updated: 20 Apr 2017
  • Status: In Force
  • Dossier: 13618

  Open

• New

  MiFID II: Content and Format of Information on Execution of Clients Orders

  • Updated: 20 Apr 2017
  • Status: In Force
  • Dossier: 13616

  Open

• New

  MiFID II: Content, Format and Periodicity of Data on Quality Execution

  • Updated: 20 Apr 2017
  • Status: In Force
  • Dossier: 13604

  Open

• New

  MiFID II: Clock Synchronisation

  • Updated: 20 Apr 2017
  • Status: In Force
  • Dossier: 14160

  Open

• New

  MiFIR: Data Disaggregation

  • Updated: 20 Apr 2017
  • Status: In Force
  • Dossier: 13925

  Open

• New

  MiFID II: Authorisation and Organisational Requirements for Data Reporting Services Providers

  • Updated: 20 Apr 2017
  • Status: In Force
  • Dossier: 13880

  Open

• New

  MiFID II: Material Market in Terms of Liquidity

  • Updated: 20 Apr 2017
  • Status: In Force
  • Dossier: 13879

  Open

• New

  MiFID II: Suspension and Removal of Financial Instruments from Trading

  • Updated: 20 Apr 2017
  • Status: In Force
  • Dossier: 13947

  Open

• New

  MiFID II: Admission of Financial Instruments to Trading on Regulated Markets

  • Updated: 20 Apr 2017
  • Status: In Force
  • Dossier: 13946

  Open

• New

  MiFIR: Pre-Trade Transparency for Systematic Internalisers

  • Updated: 20 Apr 2017
  • Status: In Force
  • Dossier: 13107

  Open

• New

  MiFID II: Orders to Transactions Ratio

  • Updated: 20 Apr 2017
  • Status: In Force
  • Dossier: 13872

  Open

• New

  MiFID II: Organisational Requirements and Investment Firms Operating Conditions

  • Updated: 20 Apr 2017
  • Status: In Force
  • Dossier: 13105

  Open

• New

  MiFID II: Co-location and Fee Structures

  • Updated: 20 Apr 2017
  • Status: In Force
  • Dossier: 13874

  Open

• New

  Central Securities Depositories (CSD): CSD Requirements

  • Updated: 30 Mar 2017
  • Status: In Force
  • Dossier: 14367

  Open

• New

  Central Securities Depositories (CSD): CSD Requirements

  • Updated: 30 Mar 2017
  • Status: In Force
  • Dossier: 14341

  Open

• New

  Central Securities Depositories (CSD): Internalised Settlement

  • Updated: 30 Mar 2017
  • Status: In Force
  • Dossier: 14366

  Open

• New

  Central Securities Depositories (CSD): Prudential Requirements

  • Updated: 30 Mar 2017
  • Status: In Force
  • Dossier: 13715

  Open

• New

  Central Securities Depositories (CSD): Calculation of Cash Penalties (Previously: Substantial Importance of CSD Activities)

  • Updated: 30 Mar 2017
  • Status: In Force
  • Dossier: 13477

  Open

• New

  Central Securities Depositories (CSD): Templates for Internalised Settlement

  • Updated: 10 Mar 2017
  • Status: Recently Published
  • Dossier: 14371

  Open

• New

  MiFID Revision: MiFID II

  • Updated: 10 Mar 2017
  • Status: In Force
  • Dossier: 6287

  Open

• New

  OTC Derivatives (EMIR): Risk Mitigation for OTC-Derivatives not Cleared by CCPs (Correction)

  • Updated: 27 Feb 2017
  • Status: In Force
  • Dossier: 16492

  Open

• New

  OTC Derivatives (EMIR): Format and Trade Reports (Revision)

  • Updated: 10 Feb 2017
  • Status: In Force
  • Dossier: 13249

  Open

• New

  OTC Derivatives (EMIR): Reporting Data to Trade Repositories (Revision)

  • Updated: 10 Feb 2017
  • Status: In Force
  • Dossier: 13248

  Open

• New

  OTC Derivatives (EMIR): Risk Mitigation for OTC-Derivatives not Cleared by CCPs

  • Updated: 03 Feb 2017
  • Status: In Force
  • Dossier: 12282

  Open

• New

  Securities Prospectus: Exercise of Delegation of Powers (Report)

  • Updated: 11 Jan 2017
  • Status: Completed Non-Legislative
  • Dossier: 13893

  Open

• New

  Credit Rating Agencies: European Assessment for Sovereign Debt (Report)

  • Updated: 11 Jan 2017
  • Status: Completed Non-Legislative
  • Dossier: 10544

  Open

• New

  Securities Issuers: Commission Exercise of Power to adopt Delegated Acts

  • Updated: 11 Jan 2017
  • Status: Completed Non-Legislative
  • Dossier: 14969

  Open

• New

  OTC Derivatives (EMIR): United Arab Emirates Equivalence

  • Updated: 05 Jan 2017
  • Status: In Force
  • Dossier: 16021

  Open

• New

  OTC Derivatives (EMIR): Dubai International Financial Centre (DIFC) Equivalence

  • Updated: 05 Jan 2017
  • Status: In Force
  • Dossier: 16022

  Open

• New

  OTC Derivatives (EMIR): Brazil Equivalence

  • Updated: 05 Jan 2017
  • Status: In Force
  • Dossier: 16023

  Open

• New

  OTC Derivatives (EMIR): New Zealand Equivalence

  • Updated: 05 Jan 2017
  • Status: In Force
  • Dossier: 16018

  Open

• New

  OTC Derivatives (EMIR): Canada Recognised Exchanges Equivalence

  • Updated: 05 Jan 2017
  • Status: In Force
  • Dossier: 16099

  Open

• New

  OTC Derivatives (EMIR): Australia Financial Markets Equivalence

  • Updated: 05 Jan 2017
  • Status: In Force
  • Dossier: 16219

  Open

• New

  OTC Derivatives (EMIR): Japan Equivalence (II)

  • Updated: 05 Jan 2017
  • Status: In Force
  • Dossier: 16020

  Open

• New

  OTC Derivatives (EMIR): Japanese Financial Instrument Exchanges and Commodity Exchanges Equivalence

  • Updated: 05 Jan 2017
  • Status: In Force
  • Dossier: 16220

  Open

• New

  OTC Derivatives (EMIR): Singapore Approved Exchanges Equivalence

  • Updated: 05 Jan 2017
  • Status: In Force
  • Dossier: 16098

  Open

• New

  OTC Derivatives (EMIR): India Equivalence

  • Updated: 05 Jan 2017
  • Status: In Force
  • Dossier: 16019

  Open

• New

  Central Securities Depositories (CSD)

  • Updated: 21 Dec 2016
  • Status: In Force
  • Dossier: 8998

  Open

• New

  MiFIR: Criteria for Determining Derivatives Subject to Trading Obligation

  • Updated: 09 Dec 2016
  • Status: In Force
  • Dossier: 13624

  Open

• New

  MiFIR: Access to Benchmarks

  • Updated: 09 Dec 2016
  • Status: In Force
  • Dossier: 14564

  Open

• New

  MIFIR: Information for Registration of Third-Country Firms & Format of Information to Clients

  • Updated: 09 Dec 2016
  • Status: In Force
  • Dossier: 13603

  Open

• New

  Securities Issuers Transparency: European Electronic Access Point (EEAP)

  • Updated: 20 Sep 2016
  • Status: In Force
  • Dossier: 13722

  Open

• New

  OTC Derivatives (EMIR): Clearing Obligation for Interest Rate OTC Derivatives (Additional currencies

  • Updated: 09 Aug 2016
  • Status: In Force
  • Dossier: 14012

  Open

• New

  OTC Derivatives (EMIR): Equivalent USA Designated Contract Markets

  • Updated: 25 Jul 2016
  • Status: In Force
  • Dossier: 15706

  Open

• New

  MAR: Treatment of Transactions of Third-Country Central Banks

  • Updated: 11 Jul 2016
  • Status: Completed Non-Legislative
  • Dossier: 12732

  Open

• New

  MiFID II: Postponement of Application (Previously MiFID II/MiFIR: Postponement)

  • Updated: 01 Jul 2016
  • Status: In Force
  • Dossier: 14795

  Open

• New

  MiFIR: Postponement of Application

  • Updated: 01 Jul 2016
  • Status: In Force
  • Dossier: 13749

  Open

• New

  OTC Derivatives (EMIR): Requirements for CCP (Amendment)

  • Updated: 15 Jun 2016
  • Status: In Force
  • Dossier: 14419

  Open

• New

  MiFID II: Description of MTFs and OTFs

  • Updated: 15 Jun 2016
  • Status: In Force
  • Dossier: 13948

  Open

• New

  OTC Derivatives (EMIR): Clearing Obligation for Credit OTC Derivatives

  • Updated: 09 May 2016
  • Status: In Force
  • Dossier: 13050

  Open

• New

  OTC Derivatives (EMIR): Equivalence with USA

  • Updated: 05 Apr 2016
  • Status: In Force
  • Dossier: 11181

  Open

• New

  Securities Prospectus: Approval, Incorporation by Reference, Publication and Dissemination

  • Updated: 24 Mar 2016
  • Status: In Force
  • Dossier: 13047

  Open

• New

  Transparency of Securities Financing Transactions (Regulation)

  • Updated: 18 Jan 2016
  • Status: In Force
  • Dossier: 11880

  Open

• New

  OTC Derivatives (EMIR): Clearing Obligation for Interest Rate OTC Derivatives

  • Updated: 21 Dec 2015
  • Status: In Force
  • Dossier: 10695

  Open

• New

  OTC Derivatives (EMIR): Switzerland Equivalence

  • Updated: 04 Dec 2015
  • Status: In Force
  • Dossier: 11185

  Open

• New

  OTC Derivatives (EMIR): Mexico Equivalence

  • Updated: 04 Dec 2015
  • Status: In Force
  • Dossier: 14491

  Open

• New

  OTC Derivatives (EMIR): Canada Equivalence

  • Updated: 04 Dec 2015
  • Status: In Force
  • Dossier: 14490

  Open

• New

  OTC Derivatives (EMIR): South Africa Equivalence

  • Updated: 04 Dec 2015
  • Status: In Force
  • Dossier: 14489

  Open

• New

  OTC Derivatives (EMIR): South Korea Equivalence

  • Updated: 04 Dec 2015
  • Status: In Force
  • Dossier: 11177

  Open

• New

  Equivalent Account Standards (Security Issuers): Amendment (Extension Equivalence Indian GAAP)

  • Updated: 25 Sep 2015
  • Status: In Force
  • Dossier: 13744

  Open

• New

  Mechanism for Equivalence of Accounting Standards (Securities): Amendment II

  • Updated: 25 Sep 2015
  • Status: In Force
  • Dossier: 14183

  Open

• New

  Securities: Prospectus Implementing Rules (Amendment VIII)

  • Updated: 25 Sep 2015
  • Status: In Force
  • Dossier: 14184

  Open

• New

  Credit Rating Agencies (CRA): Power to Adopt Delegated Acts (Report)

  • Updated: 02 Sep 2015
  • Status: Completed Non-Legislative
  • Dossier: 13388

  Open

• New

  Prospectus and Transparency for Securities Issuers: Major Shareholdings

  • Updated: 02 Jun 2015
  • Status: In Force
  • Dossier: 12168

  Open

• New

  Bank Prudential Requirements (CRR): Margin Periods of Risk (MPOR)

  • Updated: 05 May 2015
  • Status: In Force
  • Dossier: 12073

  Open

• New

  Credit Rating Agencies: Small Credit Rating Agencies (Report)

  • Updated: 27 Mar 2015
  • Status: Completed Non-Legislative
  • Dossier: 10547

  Open

• New

  Short Selling: Notification of Net Short Positions in Sovereign Debt

  • Updated: 12 Feb 2015
  • Status: In Force
  • Dossier: 13115

  Open

• New

  Credit Rating Agencies (CRA): Disclosure Requirements for Structured Finance Instruments (SFIs)

  • Updated: 26 Jan 2015
  • Status: In Force
  • Dossier: 10666

  Open

• New

  Credit Rating Agencies (CRA): Reporting and European Rating Platform (ERP)

  • Updated: 26 Jan 2015
  • Status: In Force
  • Dossier: 10667

  Open

• New

  Credit Rating Agencies (CRA): Reporting on Charged Fees

  • Updated: 26 Jan 2015
  • Status: In Force
  • Dossier: 10668

  Open

• New

  Credit Rating Agencies (CRA): Procedure for Fines Imposed to CRAs by ESMA

  • Updated: 18 Dec 2014
  • Status: In Force
  • Dossier: 13387

  Open

• New

  OTC Derivatives (EMIR): Equivalence with Australia

  • Updated: 20 Nov 2014
  • Status: In Force
  • Dossier: 11188

  Open

• New

  OTC Derivatives (EMIR): Equivalence with Hong Kong

  • Updated: 20 Nov 2014
  • Status: In Force
  • Dossier: 11184

  Open

• New

  OTC Derivatives (EMIR): Equivalence with Singapore

  • Updated: 20 Nov 2014
  • Status: In Force
  • Dossier: 11178

  Open

• New

  OTC Derivatives (EMIR): Equivalence with Japan

  • Updated: 20 Nov 2014
  • Status: In Force
  • Dossier: 11180

  Open

• New

  Short Selling Regulation (Report)

  • Updated: 30 Jun 2014
  • Status: Completed Non-Legislative
  • Dossier: 9826

  Open

• New

  OTC Derivatives (EMIR): Fines to Trade Repositories

  • Updated: 23 Jun 2014
  • Status: In Force
  • Dossier: 10004

  Open

• New

  Credit Rating Agencies: Equivalence for Mexico

  • Updated: 23 May 2014
  • Status: In Force
  • Dossier: 12150

  Open

• New

  Credit Rating Agencies: Equivalence for Brazil

  • Updated: 23 May 2014
  • Status: In Force
  • Dossier: 12149

  Open

• New

  Credit Rating Agencies: Equivalence for Singapore

  • Updated: 23 May 2014
  • Status: In Force
  • Dossier: 12148

  Open

• New

  Credit Rating Agencies: Equivalence for Hong Kong

  • Updated: 23 May 2014
  • Status: In Force
  • Dossier: 12147

  Open

• New

  Credit Rating Agencies: Equivalence for Argentina

  • Updated: 23 May 2014
  • Status: In Force
  • Dossier: 10370

  Open

• New

  Credit Rating Agencies (CRA): Action Plan to Reduce Reliance on CRAs

  • Updated: 19 May 2014
  • Status: Completed Non-Legislative
  • Dossier: 12409

  Open

• New

  Securities: Supplements to Prospectuses

  • Updated: 05 May 2014
  • Status: In Force
  • Dossier: 10051

  Open

• New

  OTC Derivatives (EMIR): Non-EU Counterparty Deals - Technical Standards

  • Updated: 10 Apr 2014
  • Status: In Force
  • Dossier: 10713

  Open

• New

  Securities Issuers: Prospectus and Transparency Requirements (Amendment II)

  • Updated: 20 Jan 2014
  • Status: In Force
  • Dossier: 8999

  Open

• New

  OTC Derivatives (EMIR): Exempted Entities (USA and Japan)

  • Updated: 08 Nov 2013
  • Status: In Force
  • Dossier: 10003

  Open

• New

  OTC Derivatives (EMIR): Fees for Trade Repositories

  • Updated: 22 Oct 2013
  • Status: In Force
  • Dossier: 9921

  Open

• New

  OTC Derivatives (EMIR): Colleges for CCPs

  • Updated: 03 Oct 2013
  • Status: In Force
  • Dossier: 10045

  Open

• New

  OTC Derivatives (EMIR): Exemptions to Foreing Central Banks (Report)

  • Updated: 27 Sep 2013
  • Status: Completed Non-Legislative
  • Dossier: 10069

  Open

• New

  Securities: Prospectus Implementing Rules (Amendment VII)

  • Updated: 28 Aug 2013
  • Status: In Force
  • Dossier: 9748

  Open

• New

  Credit Rating Agencies: List of Certified CRAs

  • Updated: 15 Jul 2013
  • Status: Completed Non-Legislative
  • Dossier: 10692

  Open

• New

  UCITS, AIFM and IORPS: Amendment (Reliance on External Credit Ratings)

  • Updated: 20 Jun 2013
  • Status: In Force
  • Dossier: 9017

  Open

• New

  Credit Rating Agencies: Amendment II

  • Updated: 20 Jun 2013
  • Status: In Force
  • Dossier: 9016

  Open

• New

  OTC Derivatives (EMIR): Publication and Access to Data

  • Updated: 15 Mar 2013
  • Status: In Force
  • Dossier: 9703

  Open

• New

  OTC Derivatives (EMIR): Registration as Trade Repository

  • Updated: 15 Mar 2013
  • Status: In Force
  • Dossier: 9702

  Open

• New

  OTC Derivatives (EMIR): Reporting Data to Trade Repositories

  • Updated: 15 Mar 2013
  • Status: In Force
  • Dossier: 9701

  Open

• New

  OTC Derivatives (EMIR): Clearing Obligations and Other Requirements

  • Updated: 15 Mar 2013
  • Status: In Force
  • Dossier: 9700

  Open

• New

  OTC Derivatives (EMIR): Requirements for CCP

  • Updated: 15 Mar 2013
  • Status: In Force
  • Dossier: 9699

  Open

• New

  OTC Derivatives (EMIR): Capital Requirements for CCP

  • Updated: 15 Mar 2013
  • Status: In Force
  • Dossier: 9698

  Open

• New

  OTC Derivatives (EMIR): 9 Technical Standards Package

  • Updated: 15 Mar 2013
  • Status: In Force
  • Dossier: 9673

  Open

• New

  OTC Derivatives (EMIR): CCP Records

  • Updated: 09 Jan 2013
  • Status: In Force
  • Dossier: 9676

  Open

• New

  OTC Derivatives (EMIR): Register Obligations

  • Updated: 09 Jan 2013
  • Status: In Force
  • Dossier: 9675

  Open

• New

  OTC Derivatives (EMIR): Format and Trade Reports

  • Updated: 09 Jan 2013
  • Status: In Force
  • Dossier: 9674

  Open

• New

  Credit Rating Agencies: Fines

  • Updated: 18 Oct 2012
  • Status: In Force
  • Dossier: 9408

  Open

• New

  Credit Rating Agencies: Canada (Equivalence)

  • Updated: 12 Oct 2012
  • Status: In Force
  • Dossier: 9334

  Open

• New

  Short Selling: Definitions, Net Short Positions Calculation, Notification and Liquidity Thresholds &

  • Updated: 10 Oct 2012
  • Status: In Force
  • Dossier: 9322

  Open

• New

  Short Selling: Calculation of Value Fall for Liquid Shares and Other Financial Instruments

  • Updated: 10 Oct 2012
  • Status: In Force
  • Dossier: 9323

  Open

• New

  Credit Rating Agencies: USA (Equivalence)

  • Updated: 10 Oct 2012
  • Status: In Force
  • Dossier: 9333

  Open

• New

  Credit Rating Agencies: Australia (Equivalence)

  • Updated: 10 Oct 2012
  • Status: In Force
  • Dossier: 9324

  Open

• New

  Credit Rating Agencies: Japan (Equivalence)

  • Updated: 28 Sep 2012
  • Status: In Force
  • Dossier: 9331

  Open

• New

  Securities: Prospectus Implementing Rules (Amendment VI)

  • Updated: 25 Sep 2012
  • Status: In Force
  • Dossier: 9284

  Open

• New

  Short Selling: Net Positions Disclosure, Reporting to ESMA, Arrangements for Settlement & Principal

  • Updated: 20 Sep 2012
  • Status: In Force
  • Dossier: 9248

  Open

• New

  Short Selling: Net Short Positions Disclosure, Reporting to ESMA & Calculating Turnover for Exempted

  • Updated: 20 Sep 2012
  • Status: In Force
  • Dossier: 9247

  Open

• New

  Securities: Transparency Requirements for Listed Companies

  • Updated: 05 Sep 2012
  • Status: In Force
  • Dossier: 9021

  Open

• New

  OTC Derivatives Regulation (EMIR)

  • Updated: 16 Aug 2012
  • Status: In Force
  • Dossier: 6293

  Open

• New

  Equivalent Account Standards (Security Issuers): Amendment I

  • Updated: 30 Jul 2012
  • Status: In Force
  • Dossier: 8743

  Open

• New

  Equivalent Account Standards (Security Issuers)

  • Updated: 30 Jul 2012
  • Status: In Force
  • Dossier: 8742

  Open

• New

  Mechanism for Equivalence of Accounting Standards (Securities): Amendment

  • Updated: 30 Jul 2012
  • Status: In Force
  • Dossier: 8767

  Open

• New

  Mechanism for Equivalence of Accounting Standards

  • Updated: 30 Jul 2012
  • Status: In Force
  • Dossier: 8766

  Open

• New

  Short Selling Regulation

  • Updated: 30 Jul 2012
  • Status: In Force
  • Dossier: 8672

  Open

• New

  Credit Rating Agencies: Fees

  • Updated: 30 Jul 2012
  • Status: In Force
  • Dossier: 8775

  Open

• New

  Securities: Payment and Settlement Systems (Settlement Finality)

  • Updated: 05 Jul 2012
  • Status: In Force
  • Dossier: 8482

  Open

• New

  European Securities Committee: Amendment

  • Updated: 27 Jun 2012
  • Status: In Force
  • Dossier: 8486

  Open

• New

  European Securities Committee

  • Updated: 27 Jun 2012
  • Status: In Force
  • Dossier: 8485

  Open

• New

  Investment Research and Financial Analysts Communication

  • Updated: 15 Jun 2012
  • Status: Completed Non-Legislative
  • Dossier: 8445

  Open

• New

  Securities: Admission to Stock-Exchange

  • Updated: 15 Jun 2012
  • Status: In Force
  • Dossier: 8426

  Open

• New

  Market Abuse Directive

  • Updated: 15 Jun 2012
  • Status: In Force
  • Dossier: 8442

  Open

• New

  MiFID: Markets in Financial Instruments Directive Amendment II

  • Updated: 15 Jun 2012
  • Status: In Force
  • Dossier: 8454

  Open

• New

  MiFID: Markets in Financial Instruments Directive Amendment I

  • Updated: 15 Jun 2012
  • Status: In Force
  • Dossier: 8452

  Open

• New

  MiFID: Markets in Financial Instruments Directive

  • Updated: 15 Jun 2012
  • Status: In Force
  • Dossier: 8450

  Open

• New

  Securities: Prospectus Implementing Rules (Amendment V)

  • Updated: 12 Jun 2012
  • Status: In Force
  • Dossier: 8439

  Open

• New

  Securities: Prospectus Implementing Rules (Amendment IV)

  • Updated: 12 Jun 2012
  • Status: In Force
  • Dossier: 8438

  Open

• New

  Securities: Prospectus Implementing Rules (Amendment III)

  • Updated: 12 Jun 2012
  • Status: In Force
  • Dossier: 8437

  Open

• New

  Securities: Prospectus Implementing Rules (Amendment II)

  • Updated: 12 Jun 2012
  • Status: In Force
  • Dossier: 8436

  Open

• New

  Securities: Prospectus Implementing Rules (Amendment I)

  • Updated: 12 Jun 2012
  • Status: In Force
  • Dossier: 8435

  Open

• New

  Securities: Prospectus Implementing Rules

  • Updated: 12 Jun 2012
  • Status: In Force
  • Dossier: 8432

  Open

• New

  Securities Issuers: Transparency Requirements (Amendment I)

  • Updated: 12 Jun 2012
  • Status: In Force
  • Dossier: 8430

  Open

• New

  Securities Issuers: Transparency Requirements

  • Updated: 12 Jun 2012
  • Status: In Force
  • Dossier: 8425

  Open

• New

  Securities: Prospectus and Transparency Requirements Amendment

  • Updated: 12 Jun 2012
  • Status: In Force
  • Dossier: 8427

  Open

• New

  Securities: Prospectus

  • Updated: 12 Jun 2012
  • Status: In Force
  • Dossier: 8423

  Open

• New

  Credit Rating Agencies: Compliance Assessment of Methodologies

  • Updated: 05 Jun 2012
  • Status: In Force
  • Dossier: 8358

  Open

• New

  Credit Rating Agencies: Presentation of Information

  • Updated: 05 Jun 2012
  • Status: In Force
  • Dossier: 8359

  Open

• New

  Credit Rating Agencies: Registration and Certification

  • Updated: 05 Jun 2012
  • Status: In Force
  • Dossier: 8360

  Open

• New

  Credit Rating Agencies: Rating Reports to ESMA

  • Updated: 05 Jun 2012
  • Status: In Force
  • Dossier: 8357

  Open

• New

  Credit Rating Agencies: Amendment I

  • Updated: 05 Jun 2012
  • Status: In Force
  • Dossier: 8356

  Open

• New

  Credit Rating Agencies

  • Updated: 05 Jun 2012
  • Status: In Force
  • Dossier: 8354

  Open

• New

  European Securities and Markets Authority (ESMA)

  • Updated: 05 Jun 2012
  • Status: In Force
  • Dossier: 8362

  Open