Consob - www.consob.it

Contiene i testi di alcuni documenti diffusi dall'Esma al fine di istituire prassi di vigilanza uniformi, efficienti ed efficaci e per assicurare l'applicazione comune, uniforme e coerente del diritto dell'Unione.

Contiene inoltre i documenti emanati dalla Consob, anche congiuntamente a Banca d'Italia, di recepimento degli orientamenti Esma.

Sezione aggiornata fino a luglio 2015. Per consultare la raccolta degli Orientamenti Esma nella versione aggiornata dopo tale data visita il nuovo sito.


Riferimento

Data

Tipo

Oggetto

2015/1172 23/07/2015 Consultation Paper Guidelines on sound remuneration policies under the UCITS Directive and AIFMD
JC/CP/2015/003
Eba-Eiopa-Esma

03/07/2015

Consultation paper

EBA, EIOPA and ESMA consult on the prudential assessment of acquisitions and increases of qualifying holdings
2015/1014

01/07/2015

Final report

Draft RTS on prospectus related issues under the Omnibus II Directive
2015/1005

01/07/2015

Q&A

Questions and Answers: Investment-based crowdfunding: money laundering/terrorist financing
2015/1057

30/06/2015

Report

ESMA Guidelines on Alternative Performance Measures
2015/1006

30/06/2015

Report

Final Report on MiFID II-MiFIR draft technical standards on authorisation, passporting, registration of third country firms and cooperation between competent authorities
2015/850

12/05/2015

Q&A

Q&A on the Application of the AIFMD
2015/675

06/05/2015

Guidelines and Recommendations

Guidelines on the application of the definitions in Sections C6 and C7 of Annex I of Directive 2004/39/EC (MiFID)
2015/775

27/04/2015

Q&A

Questions and Answers-Implementation of the Regulation (EU) No 648/2012 on OTC derivatives, central counterparties and trade repositories (EMIR)
2015/753

23/04/2015

Consultation paper

Draft guidelines for the assessment of knowledge and competence
2015/655

31/03/2015

Q&A

Updated EMIR Q&A - No 12
2015/610

24/03/2015

Consultation paper Draft guidelines on complex debt instruments and structured deposits
2015/609

23/03/2015

Guidelines and Recommendations

Guidelines on periodic information to be submitted to ESMA by Credit Rating Agencies
2015/558

20/03/2015

Consultation paper

Call for evidence on private and bilateral SFIs
2015/319

18/02/2015

Consultation paper

Addendum Consultation Paper - MiFID II/MiFIR
2015/227

16/02/2015

Final report

Final Report - ESMA’s technical advice to the European Commission on the delegated acts of the Regulations on European Social Entrepreneurship Funds and European Venture Capital Funds
2015/224

03/02/2015

Final report

ESMA’s technical advice on possible delegated acts concerning the Market Abuse Regulation
2015/223

29/01/2015

Opinion

Opinion on draft RTS on the Clearing Obligation
2015/12

09/01/2015

Q&A

Q&A on ETFs and other UCITS issues
2015/11

09/01/2015

Q&A

Q&A on the Application on the AIFMD
JC/2014/092
Esma-Eba-Eiopa

23/12/2014

Final report

Draft RTS on risk concentration and intra-group financial transactions under Financial Conglomerates Directive

2014/1577

23/12/2014

Consultation paper

Discussion Paper - Share classes of UCITS
JC/GL/2014/01/IT
Esma-Eba-Eiopa

22/12/2014

Guidelines and Recommendations

Orientamenti congiunti sulla convergenza delle prassi di vigilanza riguardo alla coerenza degli accordi di coordinamento in materia di vigilanza per i conglomerati finanziari
JC/GL/2014/01/IT
Esma-Eba-Eiopa

22/12/2014

Guidelines and Recommendations

Allegato I. Modello per il processo di mappatura del conglomerato finanziario (allegato JC 2014 070)
2014/1570 B

19/12/2014

Consultation paper

Consultation paper on MiFID II/MiFIR - part 2
2014/1570 A

19/12/2014

Consultation paper

Consultation paper on MiFID II/MiFIR - part 1
2014/1570 reply form

19/12/2014

Reference document

Response form to the CP on MiFID II / MiFIR
2014/1569 Annex

19/12/2014

Reference document

Annex to Technical Advice on MiFID II and MiFIR - investor protection topics
2014/1569

19/12/2014

Final report

Technical Advice to the Commission on MiFID II and MiFIR
2014/1565

18/12/2014

Consultation paper

Consultation paper on Guidelines on Access to a CCP or a Trading Venue by a CSD
2014/1564

18/12/2014

Consultation paper

Consultation paper on Technical Advice under the CSD Regulation
2014/1563

18/12/2014

Consultation paper

Consultation paper on Technical Standards under the CSD Regulation
2014/1378

18/12/2014

Opinion

Opinion - Investment-based crowdfunding
2014/1326

01/12/2014

Consultation paper

Guidelines on asset segregation under the AIFMD
2014/1357

11/11/2014

Q&A

Q&A on the Application of the AIFMD
2014/1354

11/11/2014

Q&A

Q&A on the Application of the EuSEF and EuVECA Regulations
2014/1352

10/11/2014

Consultation paper

Consultation Paper on review of the technical standards on reporting under Article 9 of EMIR
2014/1293it 28/10/2014 Orientamenti Orientamenti Esma relativi all'attività finalizzata all'attuazione delle norme in materia di informativa finanziaria 
ESMA/2014/1300

24/10/2014

FAQ

EMIR Q&A - 11th update
2014/1279

22/10/2014

Q&A

Q&A on Prospectus related issues (22nd version)
2014/1185

01/10/2014

Consultation paper

Consultation Paper on clearing obligation under EMIR - No. 3
2014/1184

01/10/2014

Final report

Final report on ESMA's draft technical standards on the Clearing Obligation for Interest Rate OTC Derivatives
2014/1194

30/09/2014

Q&A

Update - Questions and Answers (Q&A) on the application of the AIFMD
2014/1189

29/09/2014

Consultation paper

Consultation paper on draft guidelines on the application of C6 and C7 of Annex I of MiFID
2014/1187

29/09/2014

Final report

Draft Regulatory Technical Standards on major shareholdings and an indicative list of financial instruments subject to notification requirements under the revised Transparency Directive
2014/1186

26/09/2014

Consultation Paper

Consultation paper on draft RTS on prospectus related issues under the Omnibus II Directive
2014/1183

26/09/2014

Consultation Paper

Consultation paper on ESMA's technical advice to the European Commission on delegated acts required by the UCITS V Directive
2014/1182

26/09/2014

Consultation Paper

Consultation paper on the implementing measures of the Regulations on EuSEF and EuVECA
2014/1133

04/09/2014

Orientamenti e raccomandazioni

Orientamenti e raccomandazioni relativi all'attuazione dei principi CPSS-IOSCO per le infrastrutture del mercato finanziario in relazione alle controparti centrali
2014/1103

22/08/2014

Opinion

Review of the CESR guidelines on a Common Definition of European Money Maket Funds

2014/799

 

18/08/2014

Responses to Consultation Paper

Responses to Esma consultation  on periodic information to be submitted to Esma by Credit Rating Agencies
2014/869/IT

08/08/2014

Orientamenti

Orientamenti sugli obblighi di segnalazione ai sensi degli articoli 3, par. 3, lettera d), e 24, paragrafi 1.2 e 4 della direttiva GEFIA
2014/ 05/08/2014

Responses to Consultation and Discussion papers

Responses to Esma consultation and discussion papers on  MIFIDII/MIFIR
2014/1009

05/08/2014

Guidelines and Recommendations

Guidelines and Reccomandations regarding the implementation of the CPSS-IOSCO Principles for Financial Market Infrastructure in respact of central Counterparties
2014/937

01/08/2014

Guidelines

ESMA Guidelines on ETFs and other UCITS issues
2014/944

31/07/2014

Document

Potential risk associated with investing in contingent convertible instruments
2014/62

31/07/2014

Document

Placement of financial instruments with depositors, retail investors and policy holders ('Self placement')
JC/CP/2014/04

24/07/2014

Joint Consultation Paper

Draft Regulatory Techncical Standards on risk concentration and intra-group transactions under aertcle 21a (1a) of the Financial Conglomerates Directive
2014/868

21/07/2014

Q&A

Q&A on the Application of  AIFMD
2014/799

17/07/2014

Consultation Paper

Esma consults on clearing obligation under EMIR
2014/845

16/07/2014

Consultation Paper

Esma consults on periodic information to be submitted to Esma by Credit Rating Agencies
2014/809

15/07/2014

Consultation Paper

Draft Technical standards on the Market Abuse Regime
2014/808

15/07/2014

Consultation Paper

Esma draft technical advice on possible delegated acts concerning the Market Abuse Regime 
2014/815

10/07/2014

Q&A

Esma published  10th updated EMIR Q&A
2014/685

24/06/2014

Final report

Press Release - Esma publishes draft RTS on Cra3 transparency requirements
2014/682

23/06/2014

Q&A

Esma published updated EMIR Q&A
2014/43

13/06/2014

Final report

Joint Committee Final Report on guidelines for complaints-handling for the securities (ESMA) and banking (EBA) sectors
2014/578

02/06/2014

Q&A

Q&A on the Implementation of the CRA Regulation
2014/549

22/05/2014

Consultation paper

Esma consults on Mifid reforms

2014/548

22/05/2014

Discussion paper

Esma consults on Mifid reforms

2014/550

21/05/2014

Q&A

Q&A VIII on EMIR Implementation
JC/CP/2014/03

14/04/2014

Joint Committee

EBA, ESMA and EIOPA consultation paper on draft technical standards under EMIR
2014/332

27/03/2014

Opinion

Structured Retail Products - Good practices for product governance arrangements
2014/298/IT

27/03/2014

Guidelines and Recommendations

Orientamenti sugli accordi di cooperazione e sullo scambio di informazioni
2014/311

26/03/2014

Q&A

Application of the EuSEF and EuVECA Regulations
2014/296

25/03/2014

Q&A

Application of the AIFMD
2014/300

21/03/2014

Consultation paper

Draft Regulatory Technical Standards on major shareholdings and indicative list of financial instruments subject to notification requirements under the revised Transparency Directive
JC/CP/2014/02

12/03/2014

Consultation paper

Linee guida per il coordinamento della vigilanza sui conglomerati finanziari
2014/163

17/02/2014

Q&A

Questions and Answers on application of the AIFMD
2014/175

13/02/2014

Consultation paper

ESMA Guidelines on Alternative Performance Measures
2014/164 11/02/2014

Q&A

Q&A VI on EMIR Implementation
2014/150

11/02/2014

Consultation paper

Consultation Paper on CRA3 Implementation
2014/154

07/02/2014

Orientamenti

Rischi dell'investimento in prodotti complessi
2014/35

15/01/2014 

Q&A

Q&A Prospectus (21st version)
2013/1974

20/12/2013

Consultation paper

Revision of the provisions on diversification of collateral in ESMA’s guidelines on ETFs and other UCITS issues

2013/1935

17/12/2013

Q&A

Q&A on the implementation of the CRA regulation
2013/1547

27/11/2013

Q&A

ESMA’s Guidelines on ETFs and other UCITS issues
JC-CP-2013-03

06/11/2013

Consultation paper

Draft guidelines for complaints-handling for the securities (ESMA) and banking (EBA) sectors
2013/1537

28/10/2013

Q&A

Q&A - Prospectuses 20th Updated Version
2013/1527

22/10/2013

Q&A

Implementation of the Regulation (EU) No 648/2012 on OTC derivatives, central counterparties and trade repositories (EMIR)
2013/1292

18/10/2013

Consultation paper

ESMA’s Technical Advice to the Commission on procedural rules to impose fines on Trade Repositories
2013/1390

03/10/2013

Orientamenti e Raccomandazioni

Orientamenti e Raccomandazioni riguardanti gli accordi scritti tra i membri dei collegi delle CCP
Annex I - Written agreement for the establishment and functioning of the college of CCP A
2013/611

13/08/2013

Orientamenti

Orientamenti sui concetti chiave della direttiva AIFMD
2013/1087

08/08/2013

Report

Final Report on amended EMIR implementing technical standards
2013/1080

05/08/2013

Q&A

Questions and Answers Implementation of the Regulation (EU) No 648/2012 on OTC derivatives, central counterparties and trade repositories (EMIR)
2013/1072 01/08/2013

Opinion

Practical arrangements for the late transposition of the AIFMD
JC 2013/01

26/07/2013

Regulatory Technical Standards

JC FINAL draft Regulatory Technical Standards

2013/1013

19/07/2013

Consultation paper

ESMA Guidelines on enforcement of financial information
2013/892

17/07/2013

Consultation paper

Draft Regulatory Technical Standards on contracts having a direct, substantial and foreseeable effect within the Union and non-evasion of provisions
2013/891

10/07/2013

Consultation paper

Discussion paper on CRA3 Implementation / From 10 July to 10 October
2013/894

04/07/2013

Protocollo

Protocol on the operation of notifications of MiFID Article 41 suspensions and removals of financial instruments from trading

2013/326 03/07/2013

Report

Retailisation in the EU
2013/232

03/07/2013

Guidelines

Orientamenti per sane politiche retributive a norma della direttiva AIFMF
2013/720

17/06/2013

Guidelines and Recommendations

Guidelines and Recommendations on the Scope of the CRA Regulation
2013/606

11/06/2013

Final report

Guidelines on remuneration policies and practices (MiFID)
2013/619

10/06/2013

Final report

Comparison of liability regimes in Member States in relation to the Prospectus Directive
2013/322 IT

10/06/2013

Guidelines and Recommendations

Orientamenti e raccomandazioni per favorire valutazioni uniformi, efficienti ed efficaci degli accordi di interoperabilità
2013/685

06/06/2013

Q&A

Questions and Answers Implementation of the Regulation (EU) No 648/2012 on OTC derivatives, central counterparties and trade repositories (EMIR)
2013/661

05/06/2013

Guidelines and Recommendations

Guidelines and Recommendations regarding written agreements between members of CCP colleges
2013/658

06/06/2013

Final report

Final Report - ESMA-EBA Principles for Benchmark-Setting Processes in the EU
2013/614

03/06/2013

Final report

ESMA’s technical advice on short selling regulation
2013/600

24/05/2013

Final report

Guidelines on key concepts of the AIFMD
2013/592

24/05/2013

Consultation paper

Consultation paper on ESMA’s guidelines on AIFMD reporting obligations under Articles 3 and 24 of the AIFMD
2013/594

23/05/2013

Q&A

Questions and Answers-Prospectuses (19th updated version)
2013/74 IT

02/04/2013

Guidelines and Recommendations

Esenzione per attività di supporto agli scambi (market making) e operazioni di mercato primario ai sensi del regolamento (UE) 236/2012 del Parlamento europeo e del Consiglio del 14 marzo 2012 relativo alle vendite allo scoperto e a taluni aspetti dei contratti derivati aventi ad oggetto la copertura del rischio di inadempimento dell’emittente (credit default swap)
2013/324

20/03/2013

Q&A

Questions and Answers on EMIR Implementation
2013/317

20/03/2013

Opinion

Framework for the assessment of third country prospectuses under Article 20 of the Prospectus Directive
2013/316  15/03/2013

Consultation paper

Draft Regulatory Technical Standards on specific situations that require the publication of a supplement to the prospectus
2013/203  12/02/2013

Call for evidence

On the evaluation of the Regulation (EU) 236/2012 of the European Parliament and of the Council on short selling and certain aspects of credit default swaps
2013/201  11/02/2013

Guidelines and Recommendations

Guidelines on sound remuneration policies under the AIFMD
2013/158  01/02/2013

Final report

Guidelines on the exemption for market making activities and primary market operations under Regulation (EU) 236/2012 of the European Parliament and the Council on short selling and certain aspects of Credit Default Swaps
2013/159 30/01/2013

Q&A

Q&A on Implementation of the Regulation on short selling and certain aspects of credit default swaps (2nd update)
2013/87 23/01/2013

Work programme

2013 CRA supervision and policy work plan
2013/2 21/01/2013

Report

European enforcers review of impairment of goodwill and other intangible assets in the IFRS financial statements
2012/841

20/12/2012

Consultation paper

Guidelines and recommendations on the scope of the CRA Regulation
2012/852

20/12/2012

Consultation paper

Guidelines for establishing consistent, efficient and effective assessments of interoperability arrangements
2012/855

19/12/2012

Q&A

Questions and Answers on prospectuses - 18th updated version
2012/845

19/12/2012

Consultation paper

Guidelines on key concepts of the AIFMD
2012/832 IT

18/12/2012

Guidelines and Recommendations

Orientamenti su questioni relative agli ETF e ad altri OICVM
2012/722

04/12/2012

Final report

Guidelines on repurchase and reverse repurchase agreements
2012/725

12/11/2012

Other

European common enforcement priorities for 2012 financial statements
2012/721 20/11/2012

Opinion

Opinion on Article 50(2)(a) of the UCITS Directive
2012/682

19/10/2012

Reference document

Guide to investing
2012/680

19/10/2012

Reference document

Links to national websites for the purpose of the notification of net short positions
2012/679

19/10/2012

Reference document

Links to national websites where net short positions in shares are disclose

2012/666 10/10/2012

Q&A

Q&A on Implementation of the Regulation on short selling and certain aspects of credit default swaps (1st update)
2012/605 28/09/2012

Q&A

Questions and Answers on Prospectuses - 17th updated version
2012/388 IT 28/09/2012

Guidelines and Recommendations

Orientamenti su alcuni aspetti dei requisiti della funzione di controllo della conformità di cui alla MiFID
2012/600 27/09/2012

Final report

Draft technical standards under the Regulation (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC Derivatives, CCPs and Trade Repositories ID
2012/592 25/09/2012

Q&A

Questions and Answers - Key Investor Information Document for UCITS
2012/580 17/09/2012

Consultation paper

Exemption for market making activities and primary market operations under Regulation (EU) 236/2012 of the European Parliament and the Council on short selling and certain aspects of Credit Default Swaps
2012/572 13/09/2012

Q&A

Questions and Answers - Implementation of the Regulation on short selling and certain aspects of credit default swaps
2012/557 IT 10/09/2012

Investor warning

L'ESMA mette in guardia gli investitori al dettaglio sulle insidie dell’investimento online
2012/387 IT 21/08/2012

Guidelines and Recommendations

Orientamenti su alcuni aspetti dei requisiti di adeguatezza della direttiva MiFID
2012/474 25/07/2012

Final report

Report and consultation paper on guidelines on ETFs and other UCITS issues
2012/468 23/07/2012

Q&A

Questions and Answers on Prospectuses - 16th updated version
2012/429 09/07/2012

Q&A

Questions and Answers - Risk Measurement and Calculation of Global Exposure and Counterparty Risk for UCITS
2012/382 22/06/2012

Q&A

MiFID - Questions and Answers in the area of investor protection and intermediaries
2012/122 IT 24/02/2012

Guidelines and Recommendations

Orientamenti - Sistemi e controlli in un ambiente di negoziazione automatizzato per piattaforme di negoziazione, imprese di investimento e autorità competenti
2011/412 IT 

06/01/2012

Investor warning

Operazioni in cambi (forex)

2011/85 09/06/2011

Q&A

Frequently asked questions regarding Prospectuses: common positions agreed by ESMA Members 13th updated version
CESR/10/294 19/04/2010

Feedback statement

Understanding the definition of advice under MiFID

Documenti di recepimento Consob, Consob/Banca d'Italia 

Data

Argomento

Oggetto

29/01/2014

 politiche e prassi retributive

Comunicazione congiunta Consob-Banca d'Italia del 28-1-2014 - Attuazione degli Orientamenti emanati dall'ESMA in materia di politiche e prassi retributive (MiFID)

05/06/2013

vendite allo scoperto

Comunicazione congiunta Banca d'Italia/Consob del 5 giugno 2013 in merito al recepimento degli Orientamenti emanati dall'AESFEM (ESMA), concernenti l'esenzione per attività di supporto agli scambi (market making) e operazioni di mercato primario ai sensi del Regolamento (UE) n. 236/2012 relativo alle vendite allo scoperto e a taluni aspetti dei credit default swap
22/02/2013

questioni relative agli Etf e ad altri Oicvm

Comunicazione Consob n. 13015352 del 22 febbraio 2013 - Recepimento degli Orientamenti emanati dall'Autorità europea degli strumenti finanziari e dei mercati (AESFEM) su questioni relative agli ETF e ad altri OICR armonizzati
25/10/2012

requisiti di adeguatezza

Comunicazione Consob n. 12084516 del 25 ottobre 2012 - Comunicazione in merito al recepimento degli Orientamenti ESMA concernenti alcuni aspetti dei requisiti di adeguatezza prescritti dalla MiFID
30/04/2012

sistemi di trading automatizzato

Comunicazione congiunta Consob/Banca d'Italia del 30 aprile 2012 relativa all'attuazione degli Orientamenti sui sistemi e controlli in un ambiente automatizzato per le imprese di investimento emanati dall'Esma il 22 dicembre 2011, in attuazione della Direttiva 2044/39/Ce (MiFID)
04/04/2012

sistemi di trading automatizzato

Comunicazione Consob n. 12027074 del 4 aprile 2012 - Adempimenti per le piattaforme di negoziazione (mercati regolamentati e sistemi multilaterali di negoziazione) in recepimento degli Orientamenti contenuti nel documento dell'ESMA "Orientamenti sui sistemi e controlli in un ambiente automatizzato per piattaforme di negoziazione, imprese di investimento e autorità competenti", pubblicato il 22 dicembre 2011, in attuazione della Direttiva 2004/39/CE (MiFID)
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