ESMA Registers - Publication Interface Help File

1. Introduction

ESMA Registers system offers a user-friendly interface, in order to provide web visitors with the information they query concerning the European regulatory framework for investment firms and credit institutions.

The system provides currently information for registers falling under OMNIBUS/MiFID I, MiFID II, MiFIR and ECSPR.

The user may search information on the following supported Registers:

• MiFID/UCITS/AIFMD/EUSEF/EUVECA/ECSPR entities
• Sanctions
• Prospectus
• Suspensions and Removals
• Central Counterparties
• Shares admitted to trading on EU Regulated Markets
• Exempted Shares under Short Selling Legal Framework

Through the ESMA Registers system, web visitors have easy access to public information for all supported Registers, while details can be exported / downloaded.

The system provides a restricted area to authorised users (i.e. National Competent Authorities), where they have access to additional information.

2. Home Page

The user may access the available registers through links available at the Home Page of the Publication interface. Upon clicking on a link, the user is redirected to the dedicated home page of each register.

The Home page provides general information for ESMA Registers system and it is accessible through the Home button.

A search functionality is available at the Main home page of the Publication interface. The user can provide a keyword or a complex query at the Keyword search field.

The system returns the list of the registers with an indication of how many results have been identified at each of them.

Upon clicking on one of the returned results the user is redirected to the results at the data section of the specific register.

3. Organization of ESMA Registers

The system is organized in several basic sections, providing distinct access to the supported Registers. Each Register is accessible through a dedicated button / link, always available at the top of the page.

Each Registers’ page consists of three sections:

• Disclaimer
• Filtering section
• Data section

The Home page provides general information for ESMA Registers system and it is accessible through the Home button.

4. Filter MiFID/UCITS/AIFMD/EUSEF/EUVECA/ECSPR entities

The user has access to Authorised entities under the following Legal Frameworks, through the relevant buttons:

• Investment firms (IF)
• UCITS management companies (UCITS)
• Alternative investment fund managers (AIFM)
• Regulated Markets (RM)
• Multilateral Trading Facilities (MTF)
• Organized Trading Facilities (OTF)
• Systematic Internalisers (SI)
• Approved Publication Arrangements (APA)
• Consolidated Tape Providers (CTP)
• Approved Reporting Mechanisms (ARM)
• Social Enterpreneurship Funds (EuSEF)
• Venture Capital Funds (EuVECA)
• European Crowdfunding Service Providers (ECSP)

A filtering section is available, assisting the user to have access to specific records, applying the following filtering criteria:

• Legal framework: The user may filter the Register by specifying the Legal Framework of an Authorised entity.
• Entity name: The user may filter the Register by specifying the name or part of the name of an Authorised entity.
• SME flag: The user may filter the Register by specifying whether the Authorised Entity is a Small/Medium Entreprise.
• Home Member State: The user may filter the Register by selecting one of the available Home Member States.
• Host Member State: The user may filter the Register by selecting one of the available Host Member States.
• Office Type: The user may filter the Register by selecting one of the available office types. The available office types are Head Office or Branch.
• Status: The user may filter the Register by selecting one of the available statuses. The available statuses are Active or Inactive.
• MIC/LEI/ESMA ID: The user may filter the Register by specifying the MIC/LEI/ESMA ID of an Authorised entity.
• LEI: The user may filter the Register by specifying the LEI of an Authorised entity.
• Last Update: The user may filter the Register by specifying the last update period.
• Authorisation/Notification date: The user may filter the Register by specifying the Authorisation/Notification date of an Authorised entity.
• Authorisation withdrawal/End date: The user may filter the Register by specifying the Authorisation withdrawal/End date of an Authorised entity.
• Branch address: The user may filter the Register by specifying the address of the Branch office of an Authorised entity.
• Head office address: The user may filter the Register by specifying the address of the Head office of an Authorised entity.
• Head office LEI: The user may filter the Register by specifying the LEI of the Head office of an Authorised entity.

Note: When only the From field if specified, the system returns the Authorised Entities updated until the specified date. When only the To field is specified, the system returns the Authorised Entities updated from the specified date onwards.

The specified filtering criteria are applied upon clicking the Filter List button.

When no filtering criteria are applied, the system displays all records.

5. MiFID/UCITS/AIFMD/EUSEF/EUVECA/ECSPR entity Details

The system provides details for Authorised Entities under the following Legal Frameworks:

• MiFID investment firms
• UCITS management companies
• Alternative investment fund managers

The user has access to the details of Authorised entities through the View Details link, available in the list of the search results (see Filter Authorised Entities Register).

The details of the Authorised Entities are organized in the following tabs:

• Entity details: The user has access to the entity identifier and description information.
• Current activities: The user has access to the current activities for which the entity is authorised.
• Activities History: The user has access to the history of activities for which the entity has been authorised.
• List of Sanctions: The user has access to the sanction(s) imposed on the selected authorised entity. This tab allows the user to access the imposed sanctions through the respective link(s).
• List of Notified Host Member States: The user has access to the list of Notified Host Member States where the Entity has been authorized to start operations.

6. Filter Sanctions Register

The user has access to Sanctions through the relevant Sanctions button.

A filtering section is available, assisting the user to have access to specific information, applying the following filtering criteria:

• Sanction Legal Framework: The user may filter the Register by selecting one of the available Legal Frameworks. The available legal frameworks are Market Abuse, MiFID and UCITS, CSDR, EMIR, PRR, SECR and SFTR.
• Sanctioning Authority: The user may filter the Register by specifying the name or part of the name of the competent authority that has imposed the sanction.
• Member State: The user may filter the Register by selecting one of the available countries.
• Sanction nature: The user may filter the Register by selecting one of the available sanction natures.
• Sanctioned entity name: The user may filter the Register by specifying the name or part of the name of the Authorised Entity on which the Sanction is imposed.
• Sanctioned entity LEI: The user may filter the Register by specifying the LEI or part of the LEI that applies to the entity on which the sanction has been imposed.
• Sanction Date*: The user may filter the Register by specifying the Sanction Date period.
• Last Update*: The user may filter the Register by specifying the last update period.

• *Note: In all date filters, when only the From field if specified, the system returns the Authorised Entities updated until the specified date. When only the To field is specified, the system returns the Authorised Entities updated from the specified date onwards.

The specified filtering criteria are applied upon clicking the Filter List button.

When no filtering criteria are applied, all records are displayed.

7. Sanction Details

The system provides details for Sanctions imposed on Authorised Entities.

The user has access to the details of Sanctions through the View Details link, available in the list of the search results (see Filter Sanctions Register).

The Sanction details page allows the user to access an Sanction sanctioned through the respective link.

8. Filter Exempted Shares under Short Selling Legal Framework Register

The user has access to Shares admitted to trading to EU Regulated Markets through the relevant Shares admitted to trading to EU Regulated Markets button.

A filtering section is available, assisting the user to have access to specific information, applying the following filtering criteria:

• Keyword search: The user may filter the Register by selecting specific keywords.
• Version date: The user may filter the Register by selecting a version date, to have a snapshot of this date.
• Country code: The user may filter the Register by selecting oa specific country.
• Name: The user may filter the Register by selecting a specific name.
• Last update: The user may filter the Register by specifying a range for last update dates.
• Status: The user may filter the Register by specifying the status of the Shares.
• ISIN: The user may filter the Register by selecting a specific ISIN.
• Relevant authority: The user may filter the Register by selecting a specific National Competent Authority.
• Exemption start date: The user may filter the Register by specifying the period of the exemption of the Shares.

• *Note: In all date filters, when only the From field if specified, the system returns the Exempted Shares updated until the specified date. When only the To field is specified, the system returns the Exempted Shares updated from the specified date onwards.

The specified filtering criteria are applied upon clicking the Filter List button.

When no filtering criteria are applied, all records are displayed.

9. Exempted Shares under Short Selling Legal Framework Details

The system provides details for Exempted Shares.

The user has access to the details of Exempted Shares through the More info link, available in the list of the search results (see Filter Exempted Shares under Short Selling Legal Framework Register).

10. Organising Filtered Results

The system enables the user to organise the results displayed for each Register.

Display data

The displayed columns in the data section can be configured at the "Show table columns" link.

Select criteria to add

The displayed filters can be managed through the "Select criteria to add" field.

The user may add and remove filters. Drop-down filters that correspond to closed lists (e.g. Countries) can be added multiple times.

Results per page

The default number of results displayed within a page is set to 10. The user may change the number of results displayed per page by selecting one of the additional available values 10, 20, 50 or 100.

Paging of results

When the number of results exceeds the number of results displayed within a page, the results are organised in pages. The user navigates through the results by using the paging navigation bar.

Sorting of results

The displayed results are sorted ascending or descending by clicking on the column header.

11. Export of Results

Following a filtering of a Register (see Filter Authorised Entities Register and Filter Sanctions Register and Filter Prospectus Register and Filter Social entrepreneurship funds, Venture capital funds Register) the user exports the results in PDF or CSV format by selecting the preferable format and clicking the Export button.

The exported file may include metadata, upon user’s confirmation through the respective Include metadata check box.
An exported file with metadata includes the current timestamp, the name of the register, the disclaimer, the column headings and the search results.