ESMA Regulation - Discussion Papers

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Draft Technical Standards for the Regulation on OTC Derivatives, CCPs and Trade Repositories - February 16, 2012

February 16, 2012

This discussion paper seeks stakeholders views on the regulatory and implementing technical standards ESMA is required to draft under the Regulation of the European Parliament and Council on OTC derivatives, central counterparties and trade repositories as agreed at the Trilogue meeting of February 9, 2012 (the Regulation).

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Draft Regulatory Technical Standards on risk mitigation techniques for OTC derivatives not cleared by a CCP under the Regulation on OTC derivatives, CCPs and Trade Repositories - March 6, 2012

March 6, 2012

This is a joint discussion paper published by EBA, ESMA and EIOPA (the ESAs) and expresses the ESAs preliminary views on draft regulatory technical standards. The first section of the discussion paper focuses on preliminary considerations regarding collateral (margin) and capital requirements. The second section outlines potential options regarding combinations of collateral and capital requirements. The third and fourth sections discuss the application of variation and initial margins. The fifth and sixth sections focus on identifying eligible collateral and collateral valuation.

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ESMA’s policy orientations on guidelines for UCITS Exchange-Traded Funds and Structured UCITS - July 22, 2011

July 22, 2011

Summary of contents of the paper:
"This discussion paper sets out ESMA’s policy orientations on possible guidelines on the Undertaking for Collective Investment in Transferable Securities (UCITS), Exchange Traded Funds (ETFs) and structured UCITS. For UCITS ETFs, ESMA has identified the following topics for which guidelines should be developed:

  • Identifier;
  • Index-tracking issues;
  • Securities lending activities;
  • Actively-managed ETFs;
  • Leveraged ETFs;
  • Secondary market investors;
  • Quality and types of collateral received.
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