European Securities and Markets Authority

A financial supervisory body, also called ESMA

ESMA fosters supervisory convergence both amongst securities regulators, and across financial sectors by working closely with the other European Supervisory Authorities competent in the field of banking (EBA), and insurance and occupational pensions (EIOPA).

27 requests
Make a request to this authority
Pairing and matching rates EMIR
Response by European Securities and Markets Authority to Samuel Wilkes on .

Reported for administrator attention.

Dear Mr Wilkes,   I would like to refer you to the request for Access to Documents you submitted to ESMA on 22 March 2019 pursuant to Regulation (...
SFTR Validation Rules Excel document
Response by European Securities and Markets Authority to Steve Martin on .

Partially successful.

Dear Mr Martin,   We would like to refer you to the request for access to documents you filed pursuant to Regulation (EC) No 1049/2001 in which yo...
Work with Palantir
Response by European Securities and Markets Authority to Mathias Schindler on .

Awaiting classification.

Dear Mr Schindler,   We would like to refer to the request for access to documents you sent to ESMA in which you asked to get access to "[…] any inf...
Meetings between ESMA and stakeholders concerning sustainable finance
Request sent to European Securities and Markets Authority by Rebecca Vaughan on .

Long overdue.

All documentation (including but not limited to all email correspondence, attendance lists, agendas, background papers, and minutes/notes) relati...
EMIR Pairing and Matching Rates for 2019/20
Response by European Securities and Markets Authority to Nicholas Volpe on .

Partially successful.

  On behalf of the Access to Documents Coordinator:     Dear Mr Volpe,   We would like to refer you to the request for access to document t...
Liste von NFC+-Entitäten gem. EMIR Art. 10
Internal review request sent to European Securities and Markets Authority by Adrian Obhof on .

Awaiting internal review.

Sehr geehrter Herr Galiardi, vielen Dank für Ihre Rückmeldung. Bitte leiten Sie diesen Zweitantrag (confirmatory application) ggf. an die Person we...
Travel expenses of ESMA Executive Director
Response by European Securities and Markets Authority to Helen Darbishire on .

Successful.

Dear Ms Darbishire,   We would like to refer you to the request for access to documents you submitted to ESMA on 5 July 2019 pursuant to Regulatio...
Contacts on MiFID, 2015-2017
Request to European Securities and Markets Authority by Georgios Vassalos. Annotated by Georgios Vassalos on .

Partially successful.

-------- Forwarded Message -------- Subject: RE: New 1049 request Date: Fri, 14 Dec 2018 10:41:44 +0000 From: Verena Ross <Verena.Ross@esma.europ...
Cyber-security breaches and responses at Esma
Response by European Securities and Markets Authority to Carly Minsky on .

Awaiting classification.

Dear Ms Minsky,   We would like to refer you to the email below you sent to ESMA in which you requested certain information concerning Cyber-securit...
Contacts on MiFID II (January 2014-
Response by European Securities and Markets Authority to Georgios Vassalos on .

Partially successful.

Dear Mr Vassalos,   We would like to refer you to the email you sent to ESMA on 25 May 2018 in which you made reference to your request for Access...
SFTR Excel document
Response by European Securities and Markets Authority to Steve Martin on .

Successful.

Dear Mr Martin,   We would like to refer you to the request for Access to Documents you filed pursuant to Regulation (EC) No 1049/2001 on 7 February...
Travel expenses of ESMA Executive Director
Response by European Securities and Markets Authority to Luisa Izuzquiza on .

Successful.

Dear Ms Izuzquiza,   We would like to refer you to your request for access to documents you filed on 16 January 2018 pursuant to Regulation (EC) No...
Attendance allowance rates from 2002-2013
Response by European Securities and Markets Authority to Kate Carer on .

Awaiting classification.

Dear Ms Carer, We acknowledge receipt of your email dated 30 January in which you made reference to a Request for Access to Documents pursuant to Regu...
Brexit
Response by European Securities and Markets Authority to Abdul Hai on .

Awaiting classification.

Dear Mr Hai, We acknowledge receipt of your request for information and will get back to you in due course. Kind regards Enrico
Request of Prospectus directive competent authority and registers
Follow up sent to European Securities and Markets Authority by kraig higgs on .

Information not held.

Thank you for the information. Yours sincerely, kraig higgs
Rental contract
Response by European Securities and Markets Authority to Peter on .

Successful.

Dear Mr Teffer, With respect to your additional query, please find attached the excerpts of the document containing the specific information you reque...
Umsetzung der Richtline 2013/50/EU ( L 294/13)
Response by European Securities and Markets Authority to Ramona Glaubitz on .

Successful.

Sehr geehrte Frau Glaubitz In Bezug auf Ihre untenstehende Frage, möchte ich Sie auf die öffentlich zugängliche EUR-Lex Webseite verweisen, die “von d...
Raw data used for Mifid II consultation 19/12/2014
Response by European Securities and Markets Authority to Fiona Maxwell on .

Refused.

Dear Ms Maxwell, As regards your request dated 12 March 2015 please note the following. Concerning your reference to the data used in the MiFID II...
Contacts with the hedge fund industry
Response by European Securities and Markets Authority to Olivier Hoedeman on .

Partially successful.

Dear Mr Hoedeman, Following up to your below access to documents request under Regulation (EC) No 1049/2001 of the European Parliament and of the Coun...
DTCC meetings
Response by European Securities and Markets Authority to Fiona Maxwell on .

Awaiting classification.

Dear Ms Maxwell, With respect to your request for Access to Documents pursuant to Regulation (EC) No 1049/2001, we would like to inform you that ESMA...
Third country CCP applications
Response by European Securities and Markets Authority to Fiona Maxwell on .

Successful.

Dear Ms Maxwell,   With reference to your query, please find attached the requested document.   With kind regards   Enrico Gagliardi        ...
Documents relating to authorisation process for EMIR authorised trade repositories
Response by European Securities and Markets Authority to Marcelle von Wendland on .

Awaiting classification.

Dear Ms von Wendland,   In the matter of your request for access to documents, please note the following:   1)      Concerning points 1, 2 and...
Rules for the implementation of Regulation 1049/2001
Response by European Securities and Markets Authority to N. K. Netzell on .

Successful.

Dear Madam/Sir, Please find below the requested link: http://www.esma.europa.eu/content/Decision-Management-Board-Access-documents Best regards, S....
Financial Stability
Response by European Securities and Markets Authority to Jan on .

Awaiting classification.

Dear Sir,   We refer to our previous correspondence regarding your request under the right of access to documents in the EU treaties, as provided...
Carlos Tavares
Response by European Securities and Markets Authority to Ester Araúzo on .

Successful.

Dear Ester Araúzo,   I refer to your access to information request with the following content:   Under the right of access to documents in the...

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