European Securities and Markets Authority
ESMA Working Papers
ESMA publishes a series of working papers with economic analysis.
Trends, risks and vulnerabilities in securities markets
In order to safeguard financial stability it is necessary to identify, at an early stage, trends, potential risks and vulnerabilities stemming from the micro-prudential level, across...
Annual Report on credit rating agencies (CRAs) in the European Union (EU)
The Annual Report summarises how ESMA fulfilled its role as the supervisor of CRAs in the EU. It covers ESMA’s supervisory activities, progress in dealing with registrations, and its...
Registered trade repositories
The trade repositories listed have been registered by ESMA in accordance with Regulation (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives,...
Multilateral trading facilities
The database lists identification codes for multilateral trading facilities (MTFs). The list is published for the purpose of identification of the counterparty to the transaction as...
Shares admitted to trading on regulated markets
The MiFID implementing Regulation (No 1287/2006, of 10 August 2006) requires the relevant competent authorities to calculate and publish a set of information regarding all shares which...
This list contains the hyperlinks to the webpages of the EU countries and their national competent authorities giving access to the national registers of tied agents. Investors should...
List of Investment Firms
The list contains the hyperlinks to the webpages of the EU countries and their national competent authorities giving access to the national registers of authorised investment firms....
Access to regulated information
The Transparency Directive requires regulated information disclosed by issuers having shares admitted for trading on regulated markets to be compiled in national databases, and ESMA...
ESMA makes available a list of all systematic internalisers, in respect of shares admitted to trading on a regulated market. This list is based on the information communicated by the...
The database lists identification codes for Central Counterparties. The list is published for the purpose of identification of the counterparty to the transaction as regards to...
Means of Communication of Final Terms to Competent Authorities of host Member States
This list indicates by which means an issuer shall communicate final terms to the relevant competent authority of the host Member State(s). According to the amended Article 5.4 of the...
List of applicant central counterparties (CCPs) established in non-EEA countries
List of applicant central counterparties (CCPs) established in non-EEA countries which have applied for recognition under Article 25 of Regulation (EU) No 648/2012 of the European...
Lists relating to the short selling regulation
ESMA publishes a number of lists under the Short Selling Regulation. Administrative measures and sanctions applicable in Member States to infringements of the Short Selling Regulation...
Net short position notification thresholds for sovereign issuers
According to Article 7(2) of the Short Selling Regulation, ESMA has to publish a list of the thresholds applicable to the sovereign issuers for the purpose of the notification to...
Notification of net short positions
ESMA makes available a link to national websites where net short positions in shares are disclosed, as well as a contact list for notifications of net short positions.
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The database lists identification codes for Regulated Markets. The list is published for the purpose of identification of the counterparty to the transaction as regards to transaction...
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UCITS management companies
ESMA has compiled the list of management companies authorised by the national competent authorities of the Member States on the basis of notifications made to it by the latter...
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List of exempted shares
The Regulation (EU) No 236/2012 of the European Parliament and of the Council of 14 March on short selling and certain aspects of credit default swaps (the Regulation) requires the...
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ESMA has compiled the information on published sanctions on the basis of notifications made to it by the national competent authorities of the Member States [of the European Economic Area...
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