EUROPE: ESMA Launches one-stop shop for EU regulated investment information

Tuesday February 25 2014

The European Securities and Markets Authority (ESMA) has put in place new consolidated registers (Consolidated Registers) on its website in accordance with Directive 2010/78/EU of 24 November 2010 (Omnibus Directive).

The Consolidated Registers list the information currently published on the websites of the national competent authorities (NCAs) for the securities regulation of 31 European Economic Area (EEA) Member States.

The Consolidated Registers provide the following information:

• a list of investment firms authorised under Article 5 of MiFID (2004/39/EC);
• a list of prospectuses, supplements and certificates of approval that have been approved under the Prospectus Directive (2003/71/EC);
• a list of administrative measures and sanctions imposed upon investment firms under Article 51 of MiFID;
• a list of sanctions imposed on MiFID investment firms under Article 14 of the Market Abuse Directive (2003/6/EC); and
• a list of management companies authorised under Article 6 of Directive 2009/65/EC.

Information in the Consolidated Registers is compiled by ESMA using data provided by NCAs, who are solely responsible for the data’s accuracy and completeness.

The Consolidated Registers have been set up with the assistance of the EEA NCAs. This is an ongoing process and ESMA will continue to work with the NCAs to ensure that a complete set of data for all NCAs is available in the Consolidated Registers.

Click on the above link for more details.