Public Documents

Key information documents for download

2021 To Title Description Documents
July   Joint Trade Association Letter regarding Implementation of the CSDR Settlement Discipline Regime [redacted]
March   Joint Trade Association Letter regarding Implementation of the CSDR Settlement Discipline Regime
March   FIA_EPTA and EVIA Letter to John Glen Supporting Open Access in the UK
March HM Treasury EVIA Response to HM Treasury regarding the Call for Evidence on the Overseas Framework
February HM Treasury EVIA Response to the Treasury Committee’s Call for Evidence on the Future of Financial Services
February HM Treasury EVIA Response to HM Treasury Call for Evidence; Financial Services Future Regulatory Framework Review – UK Regulatory Coordination

2020 To Title Description Documents
November   Joint Associations Letter on the BMR third country regime
November ESMA EVIA Response to ESMA Consultation Paper on MiFID II_MiFIR review on the functioning of Organised Trading Facilities (OTF)
November ESMA EVIA Response to ESMA CP; MiFIR review report on the obligations to report transactions and reference data
October FCA EVIA Response to FCA CP 19_32; Building operational resilience; Impact tolerances for important business services
September FCA EVIA Response to FCA DP20_02 A new UK prudential regime for MiFID investment firms
July ESMA EVIA Response to ESMA call for evidence on CSDR Level 1 review
June ESMA EVIA response to the EU DG FISMA Consultation on a new digital finance strategy for Europe & a FinTech action plan
May ESMA EVIA response to the EU Public Consultation on the review of the MiFID II_MiFIR regulatory framework
March ESMA EVIA and WMBA Limited response to ESMA draft RTS under the BMR

March European Commission EVIA SUMMARY COVERNOTE; FISMA Public consultation an EU framework for markets in cryptoassets


2019 To Title Description Documents
December ESMA EVIA and WMBA Limited response to ESMA ‘Review of the EU Benchmark Regulation’_2019
October Bank of England Response to Bank of England Money Market Committee Discussion Group on the Regulatory Perimeter
October ESMA ESMA consults on MAR review - 03 October 2019

Market Abuse

The European Securities and Markets Authority (ESMA) has published today a consultation paper on the provisions of the Market Abuse Regulation (MAR) as requested by the European Commission.

The consultation paper includes proposals affecting the investor community as a whole, but which are particularly relevant for issuers of financial instruments admitted to trading or traded on a trading venue and their management, investment firms and asset management companies.

The consultation paper addresses a wide range of issues, including:
  • the possible inclusion of spot FX contracts within the scope of MAR;
  • the definition and delayed disclosure of inside information in different cases;
  • the appropriateness of the trading prohibition and insider lists for persons discharging managerial responsibilities (PDMRs);
  • a possible cross-market order book surveillance framework;
  • cum/ex and multiple withholding tax reclaim schemes; and
  • cross-border enforcement of sanctions.
Next steps

Stakeholders are invited to provide feedback on the consultation before 29 November 2019. An open hearing on this Consultation Paper will take place in ESMA’s premises on 5 November.
ESMA, based on the responses received to this consultation, intends to submit a final report to the Commission by spring 2020.


September ESMA Response to ESMA CP Development of Prices for Pre-/Post-trade Data and a CTP for Equity Instruments
August FCA Response to the FCA CP 19/19 Quarterly Consultation No24 on Handbook changes
July ANNA DSB EVIA Comments Collection for DSB Industry Consultation Paper 2
June ANNA DSB EVIA response to ANNA DSB Industry Consultation Paper 1, Published 9th May 2019

2018 To Title Description Documents
December FCA Response to the FCA CP 18/28 on Handbook changes under Brexit
December FCA Response to the FCA CP 18/29 on the Temporary Permissions Regime
February FCA Response to the FCA CP 17/40 on Individual accountability: Transitioning FCA firms and individuals to the SM&CR
January FCA Response to the FCA CP 17/37 on Industry Codes of Conduct and Discussion Paper on FCA Principle 5

2017 To Title Description Documents
August FCA Response to the FCA CP 17/17 on Handbook changes to reflect the application of the EU Benchmarks Regulation (Part 2)
August FCA Response to the FCA CP 17/17 on Handbook changes to reflect the application of the EU Benchmarks Regulation (Part 1)
July ESMA Response to the ESMA CP ESMA70-156-166 on the trading obligation for derivatives under MiFIR
July FCA Response to the FCA CP 17/25: Individual Accountability: Extending the Senior Managers & Certification Regime to all FCA firms

2016 To Title Description Documents
December ESMA Q&A to ESMA on MiFID II - Commodity Derivatives Position Reporting
October ESMA Response to the ESMA CP ESMA/2016/1440 on guidelines for calibration, publication and reporting of trading halts
October ESMA Response to the ESMA CP ESMA/2016/1422 on the scope of the consolidated tape for non-equity financial instruments
September ESMA Response to the ESMA CP ESMA_2016_723 on draft technical advice under Benchmark Regulation
September ESMA Letter to ESMA on MiFID II Commodity derivatives position limits - Application to securitised commodity derivatives
September ESMA Letter to ESMA on MiFID II Commodity derivatives position limits - Application to non-commodity contracts in Annex I section C.10
September ESMA Response to the ESMA DP ESMA/2016/1389 on trading obligation for derivatives under MiFIR
July CNMV Letter to CNMV on Liquidity Concerns Discretion on OTF and meeting offer post UK Referendum
July CONSOB Letter to CONSOB on Liquidity Concerns Discretion on OTF and meeting offer post UK Referendum
June FCA Letter to FCA concerning the Clarification on Venue Obligations under RTS 26
June ESMA Response to the ESMA CP ESMA/2016/723 on draft technical advice under Benchmark Regulation
May ESMA Follow up letter to ESMA CP ESMA/2015/1909 on Operators of Venues to Transaction Report Client Details
April European Commission Letter to European Commission on Corporate Bond Threshold Calculation under MiFID II for New Issues
January European Commission Letter to European Commission on issues pertaining to the mandating of ISINs within the RTS of MiFID2/R

2015 To Title Description Documents
December ESMA Response to the ESMA CP Addendum on MiFID II/MiFIR
March ESMA Response to the ESMA CP ESMA/2014/1570 on MiFID II/MiFIR
January HMT Response to the HMT Fair and Effective Markets Review

2014 To Title Description Documents
February EBA Response to the EBA CP 2013/44: Draft regulatory technical standards (RTS) on the methodology for the identification of global systemically important institutions (G-SII)

2013 To Title Description Documents
March ESMA Response to the ESMA Call for Evidence - The Evaluation of Regulation (EU) 236/129 (SSR)
March FSA Response to the FSA CP 12/36 The Regulation and Supervision of Benchmarks
January FSA Response to the FSA CP 12/28 Regulatory Fees and Levies: Proposals for 2013/14
January HMT Reponse to the HMT Implementation Wheatley Review: Draft Secondary Legislation
January FSA Response to the FSA CP 12/22: Client Asset Regime: EMIR, Multiple Pools and the Wider Review

2012 To Title Description Documents
December European Commission Response to the European Commission Consultation on Possible Recovery and Resolution Framework for Financial Institutions other than Banks
October FSA Response to the FSA CP 12/16: FSCS Funding Review
September FSA Response to the FSA Consultation on General Guidance on Proportionality: The Remuneration Code (SYS 19A) and Pillar 3 Disclosures on Remuneration (BIPRU 11)
September ESMA Response to the ESMA Draft Technical Standards for the Regulation on OTC Derivatives, CCPs and Trade Repositories
August ACER Response to the ACER recommendations to the Commission as regards the records of wholesale energy market transactions
June ESMA Response to the ESMA Call for Evidence - Transaction Reporting
February European Commission Responses to the European Commission Questionnaire on MiFID/MiFIR 2 by Markus Ferber MEP_2
January FSA Response to the FSA CP 11/21 Regulatory Fees and Levies
January European Commission Response to the European Commission Questionnaire on MiFID/MiFIR 2 by Markus Ferber MEP

2011 To Title Description Documents
November FSA Response to the FSA Consultation on version 3 of the Transaction Reporting User Pack ("TRUP")
September HMT Response to the HMT CP A New Approach to Financial Regulation
August FSA Response to the FSA Consultation on the FCA Approach to Financial Regulation
August IOSCO Response to the IOSCO Consultation CR02/11: Regulatory Issues Raised by the Impact of Technological Change on Market Integrity and Efficiency
July IOSCO Comments on the CPSS-IOSCO consultative report: Principles for financial market infrastructures
April European Commission Response to the European Commission CP Taxation of the Financial Sector
April HMT Response to the HMT CP A New Approach to Financial Regulation: Building a Stronger System
March FSA Response to the FSA CP 11/02: Regulatory Fees and Levies - Rate proposals 2011/12

2010 To Title Description Documents
October HMT Response to the HMT CP A New Approach to Financial Regulation: Judgement, Focus and Stability
October FSA Reponse to the FSA CP 10/19 Revising the Remuneration Code
August CESR Reponse to the CESR Consultation Standardisation and Exchange Trading of OTC Derivatives
August CESR Response to the CESR CP MiFID Review: Transaction Reporting on OTC derivatives and Extension of the Scope of Transaction Reporting Obligations

2009 To Title Description Documents
September European Commission Response to the European Commission Communication on Derivatives: Ensuring Efficient, Safe and Sound Derivatives Markets