Commission Implementing Regulation (EU) 2025/1338 of 10 July 2025 laying down implementing technical standards for the application of Regulation (EU) 2023/2859 of the European Parliament and of the Council with regard to the functionalities of the European single access point
Data as of 2026-07-04 · Compiled from an official source version. Later amendments or repeals may not be reflected; the official text prevails. · Read the official text ↗
Characteristics of the data publication API
The API shall: (a) support the distribution of the information in the format in which it is received; (b) support the functions of search and download; (c) allow users to have unrestricted access to all services that are free of charge; (d) incorporate any changes or updates requested by ESMA to ensure compliance with points (a), (b) and (c).
The legal entity identifier
Where required by any of the acts referred to in Article 1(1), point (a), of Regulation (EU) 2023/2859 or by any delegated or implementing act based on those acts for the purpose of the ESAP, entities submitting information to collection bodies and the legal person to which the information relates shall be identified with a legal entity identifier that: (a) pertains to that person and, as the case may be, to that entity; (b) is compliant with the ISO 17442 standard; and (c) is included in the LEI database maintained by the Global Legal Entity Identifier Foundation.
The classification of the types of information
Information submitted by the entities to collection bodies shall be classified according to the applicable types of information set out in Table 1 of the Annex.
The categories of the size of the entities
Where metadata indicating the size category of an entity is required by any of the acts referred to in Article 1(1), point (a), of Regulation (EU) 2023/2859 or by any delegated or implementing act based on those acts for the purpose of the ESAP, the information shall be accompanied by either of the following: (a) metadata indicating one of the size categories set out in Table 2 of the Annex where information is submitted to collection bodies pursuant to one of the Union legislative acts included in that Table; (b) metadata indicating the size category ‘other size’ where information is submitted to collection bodies pursuant to Union legislative acts other than those included in Table 2 of the Annex.
The characterisation of industry sectors
Where metadata indicating the industry sector of the economic activities is required by any of the acts referred to in Article 1(1), point (a), of Regulation (EU) 2023/2859 or by any delegated or implementing act based on those acts for the purpose of the ESAP: (a) entities falling under one or more categories set out in Table 3 of the Annex shall be classified according to that table; (b) other entities shall be categorised on the basis of one or more of the main sections of Statistical Classification of economics activities in the European Community (NACE), as defined in Delegated Regulation (EU) 2023/137.
Review
The ESAs, through the Joint Committee, shall re-assess the technical standards laid down in this Regulation relating to the legal entity identifier, having regard to information submitted by entities to collection bodies. The ESAs shall submit a report to the Commission by 31 December 2026, accompanied, where appropriate, with proposed draft amendments to this Regulation.
Entry into force and application
This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union . It shall apply from 10 July 2026.
ANNEX Table 1 Types of information Directive or Regulation Type of information Description Article Directive 2004/109/EC Annual financial report Annual financial report Article 4 Directive 2004/109/EC Management report, including sustainability statement Management report, disclosed by issuers whose securities are admitted to trading on a regulated market Article 4(2), point (b) Article 4(5) Directive 2004/109/EC Half year financial report Half year financial report Article 5 Directive 2004/109/EC Payments to governments Report on Payments to governments Article 6 Directive 2004/109/EC Inside information Inside information disclosed by issuers whose securities are admitted to trading on a regulated market Article 21 Article 2(1), point (k) Directive 2004/109/EC Managers’ transaction Transaction conducted by persons discharging managerial responsibility Article 21 Article 2(1), point (k) Directive 2004/109/EC Major shareholdings notification Notification of acquisition or disposal of major holdings Article 12 Directive 2004/109/EC Acquisition or disposal of an issuer’s own shares Acquisition or disposal of an issuer’s own shares Article 14 Directive 2004/109/EC Total number of voting rights and capital Total number of voting rights and capital Article 15 Directive 2004/109/EC Changes in the rights attaching to shares or securities other than shares Changes in the rights attaching to shares or securities other than shares Article 16 Directive 2004/109/EC Home Member State Home Member State Article 2(1), point (i) Directive 2004/109/EC Additional regulated information required to be disclosed under the laws of a Member State Additional regulated information required to be disclosed under the laws of a Member State Article 3(1) Directive 2004/109/EC Administrative sanctions and measures Information on administrative sanction and measure including appeal Article 29(1) Regulation (EU) 2017/1129 Prospectus exemption document (takeover) Prospectus exemption document for securities offered in connection with a takeover by means of an exchange offer in the context of an offer of securities to the public or of an admission to trading on a regulated market Article 1(4), point (f) Article 1(5) first subparagraph, point (e) Regulation (EU) 2017/1129 Prospectus exemption document (merger or division) Prospectus exemption document for securities offered, allotted or to be allotted in connection with a merger or division in the context of an offer of securities to the public or of an admission to trading on a regulated market Article 1(5) first subparagraph, point (f) Article 1(4), point (g) Regulation (EU) 2017/1129 Final terms, including the summary of the individual issue annexed to them Final terms Article 8(5) Regulation (EU) 2017/1129 Universal Registration Document Universal Registration Document Article 9(4) Regulation (EU) 2017/1129 Amendment Amendment to Universal Registration Document Article 9(4) Regulation (EU) 2017/1129 Registration Document Registration Document Article 10(2) Regulation (EU) 2017/1129 Securities Note Securities Note Article 21(1) Article 21(9) Article 6(3) Regulation (EU) 2017/1129 Final offer price and amount of securities Final offer price and amount of securities Article 17(2) Regulation (EU) 2017/1129 Standalone Prospectus Prospectus (single document), including information incorporated by reference Article 21(1) Article 21(9) Regulation (EU) 2017/1129 Supplement Prospectus supplements, including translations Article 23(1) Regulation (EU) 2017/1129 Base prospectus with Final terms Base prospectus with Final terms Article 8 Article 21(1) Regulation (EU) 2017/1129 Base prospectus without Final terms Base prospectus without Final terms Article 8 Article 21(1) Regulation (EU) 2017/1129 Translation of Appendix Translation of Appendix to the Universal Registration Document Article 26(4) Regulation (EU) 2017/1129 Summary Summary Article 21(1) Article 21(9) Article 6(3) Article 7 Regulation (EU) 2017/1129 Translation of the Summary Translation of the Summary Article 21(1) Article 21(9) Article 6(3) Article 7 Regulation (EU) 2017/1129 Administrative sanction and measure Administrative sanctions and other administrative measures Article 42(1) Directive 2004/25/EC ( 1 ) Authority competent to supervise the bid Authority competent to supervise the bid Article 4(2), point (c) Directive 2004/25/EC Takeover bid decision Takeover bid decision Article 6(1) Directive 2004/25/EC Takeover bid offer document Takeover bid offer document Article 6(2) Directive 2004/25/EC Offeree company board opinion and reasons on takeover bid Offeree company board opinion and reasons on takeover bid Article 9(5) Directive 2004/25/EC Equitable price Equitable price Article 5(4) Directive 2007/36/EC ( 2 ) Comply or explain disclosure of engagement policy Explanation of non-compliance Article 3g(1) Directive 2007/36/EC Engagement policy Engagement policy Article 3g(1), point (a) Directive 2007/36/EC Implementation of engagement policy Implementation of engagement policy Article 3g(1), point (b) Directive 2007/36/EC Consistency of investment strategy with liability structure Consistency of equity investment strategy with profile and duration of liabilities and contribution to the medium to long-term performance of assets Article 3h(1) Directive 2007/36/EC Arrangement with asset manager Arrangement with asset manager Article 3h(2) Directive 2007/36/EC Code of conduct Code of conduct Article 3j(1) Directive 2007/36/EC Explanation of non-application of code of conduct Explanation of non-application of code of conduct Article 3j(1) Directive 2007/36/EC Information in relation to the preparation of research, advice and voting recommendations Information in relation to the preparation of research, advice and voting recommendations Article 3j(2) Directive 2007/36/EC Remuneration policy Remuneration policy Article 9a(7) Directive 2007/36/EC Date and result of the vote on remuneration policy Date and result of the vote on remuneration policy Article 9a(7) Directive 2007/36/EC Remuneration report Remuneration report Article 9b(5) Directive 2007/36/EC Material transactions with related parties Material transactions with related parties Article 9c(2) Directive 2007/36/EC Material transactions of related parties with company’s subsidiaries Material transactions of related parties with company’s subsidiaries Article 9c(7) Directive 2007/36/EC Voting results Voting results Article 14(2) Directive 2013/34/EU Annual financial statements Annual financial statements Article 30 Directive 2013/34/EU Management report Management report Article 30 Directive 2013/34/EU Sustainability statement Sustainability statement Article 19a, Article 29a, Article 30 Directive 2013/34/EU Sustainability report Third-country undertakings’ sustainability report Article 40a Directive 2013/34/EU Consolidated management report Consolidated management report Article 30 Directive 2013/34/EU Consolidated financial statements Consolidated financial statements Article 30 Directive 2013/34/EU Audit report Audit report Article 30 Directive 2013/34/EU Assurance opinion Assurance opinion Article 30 Directive 2013/34/EU Assurance opinion on sustainability report Assurance opinion on sustainability report Article 40d Directive 2013/34/EU Statement indicating that the third-country undertaking did not make information available Statement indicating that the third-country undertaking did not make information available Article 40a(2), fourth subparagraph Directive 2013/34/EU Statement indicating that the third-country undertaking did not make the necessary assurance opinion available Statement indicating that the third-country undertaking did not make the necessary assurance opinion available Article 40a(3) Directive 2013/34/EU Report on payments to governments Report on payments to governments Article 45 Directive 2013/34/EU Consolidated report on payments to governments Consolidated report on payments to governments Article 45 Regulation (EU) No 236/2012 Net short position Net short position Article 6(1) Regulation (EU) No 596/2014 ( 3 ) Inside information Inside information Article 17(1) Regulation (EU) No 596/2014 Inside information concerning emission allowances Inside information concerning emission allowances Article 17(2) Regulation (EU) No 596/2014 Managers’ transaction – issuers Transaction conducted by persons discharging managerial responsibility in respect of issuers Article 19(3) Regulation (EU) No 596/2014 Managers’ transaction – emission allowances Transaction conducted by persons discharging managerial responsibility in respect of emission allowances market participants Article 19(3) Regulation (EU) No 596/2014 Administrative sanction and measure Administrative sanctions or other administrative measures Article 34(1) Regulation (EU) 2019/2088 ( 4 ) Sustainability risk policies in investment decision Policies on the integration of sustainability risks in investment decision-making process Article 3(1) Regulation (EU) 2019/2088 Sustainability risk policies in investment or insurance advice Policies on the integration of sustainability risks in investment advice or insurance advice Article 3(2) Regulation (EU) 2019/2088 Adverse sustainability impact at entity level Statement on due diligence policies with respect to the principal adverse sustainability impacts of investment decisions on sustainability factors at financial market participant level Article 4(1) Regulation (EU) 2019/2088 Adverse sustainability impact at large entity level Statement on due diligence policies with respect to the principal adverse impacts of investment decisions on sustainability factors for large financial market participants Article 4(3) Regulation (EU) 2019/2088 Adverse sustainability impact at group level Statement on due diligence policies with respect to the principal adverse impacts of investment decisions on sustainability factors for parent undertakings of large groups Article 4(4) Regulation (EU) 2019/2088 Adverse sustainability impact at financial adviser level Information as to whether financial advisers consider in their investment advice or insurance advice the principal adverse impacts of investment decisions on sustainability factors Article 4(5), point (a) Regulation (EU) 2019/2088 Adverse sustainability impacts at financial adviser level (a) Information as to why financial advisers do not to consider adverse impacts of investment decisions on sustainability factors in their investment advice or insurance advice Article 4(5), point (b) Regulation (EU) 2019/2088 Sustainability risk integration in remuneration policies Sustainability risk integration in remuneration policies Article 5(1) Regulation (EU) 2019/2088 Sustainability-related product disclosures Description of the environmental or social characteristics or the sustainable investment objective Article 10(1), point (a) Regulation (EU) 2019/2088 Information on the methodologies used Information on the methodologies used to assess, measure and monitor the environmental or social characteristics or the impact of the sustainable investment Article 10(1), point (b) Regulation (EU) 2019/2088 Sustainability-related product disclosures (pre-contractual disclosures) Sustainability-related product disclosures under Articles 8 and 9 Article 10(1), point (c) Regulation (EU) 2019/2088 Sustainability-related product disclosures (periodic reports) Sustainability-related product disclosures under Article 11 Article10(1), point (d) Directive 2014/65/EU ( 5 ) SME Admission document SME Admission document Article 33(3), point (c) Directive 2014/65/EU SME Prospectus SME Prospectus Article 33(3), point (c) Directive 2014/65/EU SME Ongoing periodic financial reporting Ongoing periodic financial reporting, including SME audited annual report Article 33(3), point (d) Directive 2014/65/EU SME Regulatory information concerning the issuers SME Regulatory information concerning the issuers Article 33(3), point (f) Directive 2014/65/EU Ownership information Ownership information Article 46(2)(a) Directive 2014/65/EU Transfer of ownership Transfer of ownership Article 46(2), point (b) Directive 2014/65/EU Authorised investment firm in the EU Authorised investment firm in the EU Article 5(3) Directive 2014/65/EU Authorisation to an investment firm or market operator as a Multilateral trading facility (MTF) Authorisation to an investment firm or market operator as a Multilateral trading facility (MTF) Article 18(10), fourth sentence Directive 2014/65/EU Authorisation to an investment firm or market operator as an Organised Trading Facility (OTF) Authorisation to an investment firm or market operator as an Organised Trading Facility (OTF) Article 18(10), fourth sentence Directive 2014/65/EU Tied agents Tied agents Article 29(3) Directive 2014/65/EU Decision on the suspension or removal of the financial instrument and of any related derivative Decision on the suspension or removal of the financial instrument and of any related derivative Article 32(2) first subparagraph and Article 52(2) Directive 2014/65/EU Competent authority decision on a suspension or removal Competent authority decision on a suspension or removal of the financial instrument and of any related derivative traded on a regulated market, MTF, OTF and systematic internaliser, including an explanation if the decision was not to suspend or remove Article 52(2) third subparagraph Directive 2014/65/EU Administrative sanction and measure Administrative sanction or measure Article 71(1) Directive 2014/65/EU Appeal to an administrative sanction and measure Appeal to an administrative sanction or measure, including the outcome of the appeal Article 71(2) Directive 2014/65/EU Annulation of a decision Annulation of a decision Article 71(2) Directive 2014/65/EU Commodity derivatives and emission allowance derivatives positions Weekly report with aggregate positions in commodity derivatives and in derivatives on emission allowances Article 58(1), point (a) Directive 2014/65/EU Issuer’s sponsored research Issuer’s sponsored research produced in compliance with the EU code of conduct for issuer-sponsored research Article 24(3b) Regulation (EU) 2015/2365 ( 6 ) Registered trade repository Registered trade repository Article 8(3) Regulation (EU) 2015/2365 Recognised trade repository Recognised trade repository Article 19(8) Regulation (EU) 2015/2365 Open positions in SFTs Aggregate positions by type of securities financing transactions Article 12(1) Regulation (EU) 2015/2365 Public statement on an infringement Public statement on person responsible and the nature of infringement Article 22(4), point (b) Regulation (EU) 2015/2365 Administrative sanction and measure Annual report on aggregated information and granular information regarding administrative sanctions and other administrative measure Article 25(1), second sentence Regulation (EU) 2015/2365 Criminal sanction Annual Report on imposed criminal sanctions data Article 25(2), second sentence Regulation (EU) 2015/2365 Administrative sanction and measure Disclosed administrative sanctions, other administrative measures, or criminal sanctions Article 25(3) Regulation (EU) 2015/2365 Administrative sanction and measure Decision imposing an administrative sanction or other administrative measure in relation to infringements of Article 4 or 15. Article 26(1) Regulation (EU) 2015/2365 Appeal to an administrative sanction Appeal to an administrative sanction and outcome of the appeal Article 26(4) Regulation (EU) 2015/2365 Annulation of a decision Annulation of a decision Article 26(4) Directive 2002/87/EC ( 7 ) Legal structure and governance and organisational structure Legal structure and governance and organisational structure Article 9(4) Directive 2006/43/EC ( 8 ) Statutory auditor Statutory auditor Article 15 Directive 2006/43/EC Audit firm Audit firm Article 15 Directive 2006/43/EC Administrative sanction and measure Administrative sanction and measure Article 30c Directive 2006/43/EC Appeal to an administrative sanction and measure The status and outcome of an appeal to an administrative sanction and measure Article 30c Directive 2009/65/EC ( 9 ) Prospectus Prospectus Article 68(1) Directive 2009/65/EC Annual financial report Annual financial report Article 68(1) Directive 2009/65/EC Half-yearly financial report Half-yearly financial report Article 68(1) Directive 2009/65/EC Authorisation of management company Authorisation of management company Article 6(1), second subparagraph Directive 2009/65/EC Key investor information document Key investor information document (where not replaced by key information document pursuant to Regulation (EU) No 1286/2014) Article 78(1) Directive 2009/65/EC Administrative sanction and measure Administrative sanction or measure against which there is no appeal Article 99b(1) Directive 2009/138/EC ( 10 ) Solvency and financial condition report Solvency and financial condition report Article 51(1) Directive 2009/138/EC Solvency and financial condition report – group level Solvency and financial condition report – group level Article 256(1) Directive 2009/138/EC Authorisation or withdrawal of authorisation of an insurance or reinsurance undertaking Authorisation or withdrawal of authorisation of an insurance or reinsurance undertaking Article 25a Directive 2009/138/EC Reorganisation decision Decision on a reorganisation measure Article 271(1) Directive 2009/138/EC Decision to open winding-up proceedings Decision to open winding-up proceedings Article 280(1) Directive 2011/61/EU ( 11 ) Authorised AIFM Authorised Alternative Investment Fund Manager, including Competent Authority of Alternative Investment Fund Manager Article 7(5), second subparagraph Directive 2011/61/EU Authorised AIF Alternative Investment Fund managed and/or marketed in the Union Article 7(5), second subparagraph Directive 2013/36/EU ( 12 ) Administrative sanction and measure Administrative penalty Article 68(1) Directive 2013/36/EU Appeal to an administrative sanction and measure Appeal to an administrative penalty, including the status and outcome of the appeal Article 68(1) Directive 2013/36/EU Administrative sanction and measure Administrative penalty on anonymous basis Article 68(2) Directive 2013/36/EU Systemically Important Institutions Notification of Systemically Important Institutions Article 131(12) Directive 2014/59/E ( 13 ) Group financial support agreement Group financial support agreement Article 26(1) Directive 2014/59/EU Temporary administrator Temporary administrator Article 29(1) Directive 2014/59/EU Notification of the suspension of payments or delivery obligations Notification of the suspension of payments or delivery obligations Article 33a(8) Directive 2014/59/EU Special manager Special manager Article 35(1) Directive 2014/59/EU Own funds Own funds Article 45i(3) Directive 2014/59/EU Resolution action Resolution action Article 83(4) Directive 2014/59/EU Public statement on an infringement Public statement on an infringement Article 112(1) and Article 111(2), point (a) Directive 2014/59/EU Administrative sanction and measure Administrative penalty not subject to appeal or where the right to appeal has been exhausted Article 112(1) Directive 2014/59/EU Appeal to an administrative sanction and measure Appeal to an administrative penalty, including the status and outcome of the appeal Article 112(1) Directive (EU) 2016/97 ( 14 ) Administrative sanction and measure Administrative sanction and other measure against which no appeal was lodged Article 32(1) Directive (EU) 2016/97 Appeal to an administrative sanction and measure Appeal to an administrative sanction and other measure, including the outcome of the appeal Article 32(2) Directive (EU) 2016/97 Annulation of a decision Annulation of a decision to impose sanctions or other measures Article 32(2) Directive (EU) 2016/2341 ( 15 ) Remuneration policy Remuneration policy Article 23(2) Directive (EU) 2016/2341 Annual accounts Annual accounts Article 29 Directive (EU) 2016/2341 Annual reports Annual reports Article 29 Directive (EU) 2016/2341 Investment policy principles Statement of investment policy principles Article 30 Directive (EU) 2016/2341 Administrative sanction and measure Administrative sanction or other measure against which no appeal was lodged Article 48(4) Directive (EU) 2019/2034 ( 16 ) Legal structure and governance and organisational structure Legal structure and governance and organisational structure Article 44 Directive (EU) 2019/2034 Administrative sanction and measure Administrative sanction and measure against which no appeal was lodged or where the right to appeal has been exhausted Article 20 Directive (EU) 2019/2034 Appeal to an administrative sanction and measure Appeal to an administrative sanction and measure, including the status and outcome of the appeal Article 20 Directive (EU) 2019/2162 ( 17 ) Covered bonds programme information Covered bonds programme information Article 14 Directive (EU) 2019/2162 Administrative sanction and measure Administrative penalty and other administrative measure Article 24 Directive (EU) 2019/2162 Criminal sanction Criminal Penalty Article 24 Directive (EU) 2019/2162 Appeal to an administrative sanction and measure Appeal to an administrative penalty and other administrative measure, including the status and outcome of the appeal Article 24 Directive (EU) 2019/2162 Annulation of a decision Annulation of a decision to impose administrative penalty or other administrative measure, including any final court ruling. Article 24 Directive (EU) 2019/2162 Credit institutions permitted to issue covered bonds Credit institutions permitted to issue covered bonds Article 26(1), point (b) Directive (EU) 2019/2162 European covered bonds European covered bonds Article 26(1), point (c) Regulation (EC) No 1060/2009 ( 18 ) Rating methodologies, models and key rating assumptions Rating methodologies, models and key rating assumptions Article 8(1) Regulation (EC) No 1060/2009 Credit ratings and ratings outlook Credit ratings and ratings outlook Article 10(1) Article 11a(1) Article 11a(2) Regulation (EC) No 1060/2009 Central Repository Central Repository Article 11a(2) Regulation (EC) No 1060/2009 Changes to rating methodologies, models and key rating assumptions Information to be disclosed when rating methodologies, models or key rating assumptions used in credit rating activities are changed Article 8(6) Regulation (EC) No 1060/2009 Errors in rating methodologies and affected rated entities Errors in rating methodologies and affected rated entities Article 8(7) Regulation (EC) No 1060/2009 Sovereign rating Sovereign rating Article 8a(1) Regulation (EC) No 1060/2009 Sovereign ratings calendar Sovereign ratings calendar Article 8a(3) Regulation (EC) No 1060/2009 Decisions to discontinue a credit rating Decisions to discontinue a credit rating Article 10(1) Regulation (EC) No 1060/2009 Policies and procedures on unsolicited credit ratings Policies and procedures on unsolicited credit ratings Article 10(4) Regulation (EC) No 1060/2009 CRA disclosures CRA disclosures Article 11(1) Regulation (EC) No 1060/2009 Annual transparency report Annual transparency report Article 12 Regulation (EC) No 1060/2009 Third country CRA certification decision Third country CRA certification decision Article 5(3) Regulation (EC) No 1060/2009 Registered CRA Registered CRA Article 8d(2) Article 18(3) Regulation (EC) No 1060/2009 CRAs market share and types of credit ratings issued CRAs market share and types of credit ratings issued Article 8d(2) Regulation (EC) No 1060/2009 Historical performance data Historical performance data Article 11(2) Regulation (EC) No 1060/2009 Summary information on the main developments Summary information on the main developments Article 11(2) Regulation (EC) No 1060/2009 Administrative sanction and measure Administrative sanction and measure Article 24(5) Article 36d(1) Regulation (EC) No 1060/2009 Periodic penalty payment Periodic penalty payment Article 36d(1) Regulation (EU) No 345/2013 ( 19 ) European venture capital funds European venture capital funds, including countries in which they are marketed Article 17(1) Regulation (EU) No 345/2013 European venture capital fund managers European venture capital fund managers Article 17(1) Regulation (EU) No 346/2013 ( 20 ) European social entrepreneurship funds European social entrepreneurship funds, including countries in which they are marketed Article 18(1) Regulation (EU) No 346/2013 European social entrepreneurship fund managers European social entrepreneurship fund managers Article 18(1) Regulation (EU) No 575/2013 ( 21 ) Prudential requirements disclosures Prudential requirements disclosures Part Eight Regulation (EU) No 537/2014 ( 22 ) Annual transparency reports Annual transparency reports Article 13 Regulation (EU) No 600/2014 ( 23 ) Class of financial instrument Class of financial instrument Article 14(6) Regulation (EU) No 600/2014 EU systematic internaliser EU systematic internaliser Article 15(1), second subparagraph Regulation (EU) No 600/2014 Financial instrument reference data Financial instrument reference data Article 27(1) Regulation (EU) No 600/2014 Classes of derivatives subject to the trading obligation Classes of derivatives subject to the trading obligation Article 34 Regulation (EU) No 600/2014 Trading venues Venues where derivatives subject to trading obligation are admitted to trading or traded, including dates of effect of trading obligation Article 34 Regulation (EU) No 600/2014 ESMA’s temporary intervention Notice of decisions for ESMA’s temporary intervention Article 40(5) Regulation (EU) No 600/2014 Competent authorities product intervention Notice of decisions for competent authorities product intervention Article 42(5) Regulation (EU) No 600/2014 Summary of national position management measures and position limits Summary of national measures for the reduction of position or exposure size and for limiting the ability to enter into a commodity derivative Article 44(2) Regulation (EU) No 600/2014 Limits from entering into a commodity derivative Limits from entering into a commodity derivative Article 45(6) Regulation (EU) No 600/2014 Third-country firms Register of third-country firms providing investment service or performing investment activities in the Union Article 48 Regulation (EU) No 1286/2014 ( 24 ) Key information document Key information document Article 5(1) Regulation (EU) No 1286/2014 Administrative sanction and measure Administrative sanction and measure Article 27(1) and Article 29(1) Regulation (EU) No 1286/2014 Administrative sanction and measure Decision imposing an administrative sanction and measure against which there is no appeal for infringements referred to in Article 24(1) Article 29(1) Regulation (EU) 2015/760 ( 25 ) European long-term investment fund European long-term investment fund including identification data Article 3(3), second subparagraph Regulation (EU) 2016/1011 ( 26 ) Conflict of interest disclosures Conflict of interest disclosures Article 4(5) Regulation (EU) 2016/1011 Guidelines on input data Guidelines regarding the types of input data, the priority of use of the different types of input data and the exercise of expert judgement, to ensure compliance with point (a) and the methodology Article 11(1), point (c) Regulation (EU) 2016/1011 Arrangements for limited quantity or quality of input data Arrangements identifying circumstances in which the quantity or quality of input data falls below the standards necessary and describing whether and how the benchmark is to be calculated. Article 12(3) Regulation (EU) 2016/1011 Information on benchmark methodology Information on benchmark methodology Article 13(1) Regulation (EU) 2016/1011 Compliance statement Compliance statement of significant benchmark administrator Article 25(7) Regulation (EU) 2016/1011 Compliance statement Compliance statement of non-significant benchmark administrator Article 26(3) Regulation (EU) 2016/1011 Benchmark statement Benchmark statement Article 27(1) Regulation (EU) 2016/1011 Actions in case of change or cessation of benchmark Procedure concerning actions in case of change or cessation of benchmark Article 28(1) Regulation (EU) 2016/1011 Administrative sanction and measure Administrative sanction and measure Article 45(1) Regulation (EU) 2016/1011 Benchmark administrator Register of administrators and benchmarks Article 36 Regulation (EU) 2017/1131 ( 27 ) Money Market Fund Money Market Fund, including its type in accordance with Article 3(1), whether it is a short-term or standard MMF, the manager of an MMF and the competent authority of the MMF Article 4(7) Regulation (EU) 2019/1238 ( 28 ) Key information document Key information document Article 26(1) Regulation (EU) 2019/1238 Competent authority product intervention decision Notice of competent authority product intervention decision Article 63(4) Regulation (EU) 2019/1238 EIOPA product intervention decision EIOPA product intervention decision Article 65(6) Regulation (EU) 2019/1238 Administrative sanction and measure Administrative sanction and measure Article 69(1) Regulation (EU) 2019/1238 Appeal to an administrative sanction and measure Appeal to an administrative sanction, including outcome of the appeal Article 69(4) Regulation (EU) 2019/1238 Annulation of a decision Judicial annulation of administrative sanction and measure Article 69(4) Regulation (EU) 2019/2033 ( 29 ) Investment firm risk management objectives and policies Investment firm risk management objectives and policies Part Six Regulation (EU) 2019/2033 Investment firm governance Investment firm governance Part Six Regulation (EU) 2019/2033 Investment firm own funds Investment firm own funds Part Six Regulation (EU) 2019/2033 Compliance with investment firm own funds requirements Compliance with investment firm own funds requirements Part Six Regulation (EU) 2019/2033 Investment firm remuneration policy and practices Investment firm remuneration policy and practices Part Six Regulation (EU) 2019/2033 Investment firm investment policy Investment firm investment policy Part Six Regulation (EU) 2019/2033 Investment firm environment, social and governance risks Investment firm environment, social and governance risks Part Six Regulation (EU) 2023/1114 ( 30 ) Inside information Inside information Article 88(1) Regulation (EU) 2023/1114 Crypto-asset white paper for crypto-assets other than EMT or ART Crypto-asset white paper for crypto-assets other than asset-referenced tokens and e-money tokens including any modified version and out-of-date version Article 109(2) Regulation (EU) 2023/1114 Information about issuer of ART Information about issuer of Asset-referenced tokens Article 109(3) points (a), (b) and (d) to (g) Regulation (EU) 2023/1114 Crypto-asset white paper for ART Crypto-asset white papers for Asset-referenced tokens including any modified version and out-of-date version Article 109(3), point (c) Regulation (EU) 2023/1114 Information about issuer of EMT Information about issuer of E-money tokens Article 109(4) points (a), (b), (d), (e) and (f) Regulation (EU) 2023/1114 Crypto-asset white paper for EMT Crypto-asset white papers for E-money tokens including any modified version and out-of-date version Article 109(4), point (c) Regulation (EU) 2023/1114 Information about crypto-asset service provider Information about crypto-asset service provider Article 109(5) Regulation (EU) 2023/1114 Measure notified in accordance with Article 109 paragraph 6 of the MiCA Regulation Measure notified in accordance with Article 109 paragraph 6 of the MiCA Regulation Article 109(6) Regulation (EU) 2023/1114 Non-compliant entity providing crypto-asset services Non-compliant entities providing crypto-asset services, including the commercial name or the website of a non-compliant entity, the name of the competent authority that submitted the information and the changes of circumstances or any information brought to ESMA’s attention concerning registered non-compliant entity if applicable Article 110(1) and (2) Regulation (EU) 2023/1114 Infringement of MiCA Infringement identified on ESMA’s own initiative Article 110(4) Regulation (EU) 2023/1114 Unauthorised or unregistered third country CASP Information on entities providing crypto-asset services without the necessary authorisation or registration submitted by the supervisory authorities of third countries Article 110(4) Regulation (EU) 2023/2631 ( 31 ) Factsheet Factsheet Article 15(1), point (a) Regulation (EU) 2023/2631 Pre-issuance review Pre-issuance review Article 15(1), point (b) Regulation (EU) 2023/2631 Allocations report Annual allocations reports Article 15(1), point (d) Regulation (EU) 2023/2631 Post-issuance review Post-issuance review Article 15(1), point (e) Regulation (EU) 2023/2631 Impact report Impact report Article 15(1), point (f) Regulation (EU) 2023/2631 Optional impact report review Optional impact report review Article 15(1), point (h) Regulation (EU) 2023/2631 Pre-issuance disclosures for SLBs Pre-issuance disclosures for issuers of bonds marketed as environmentally sustainable or sustainability-linked bonds Article 20 Regulation (EU) 2023/2631 Periodic post-issuance disclosures for SLBs Periodic post-issuance disclosures for issuers of bonds marketed as environmentally sustainable or sustainability-linked bonds Article 21 Regulation (EU) 2023/2859 Other Other types of information made public pursuant to any further legally binding Union acts that provide for centralised electronic access to information on ESAP Article 1(1), point (a) Table 2 Categories of size Directive or Regulation Criteria Category by size Regulation (EU) 2017/1129 Article 2, point (f) ‘SME’ if meeting the criteria ‘Large’ if not meeting the criteria Regulation (EU) 2019/2033 Article 12(1) ‘Small and non-interconnected’ if meeting the criteria ‘Large’ if exceeding the criteria Directive 2004/109/EC Article 3(1) of Directive 2013/34/EU ‘Micro undertaking’ Article 3(2) of Directive 2013/34/EU ‘Small undertaking’ Article 3(3) of Directive 2013/34/EU ‘Medium undertaking’ Article 3(4) of Directive 2013/34/EU ‘Large undertaking’ Article 3(5) of Directive 2013/34/EU ‘Small group’ Article 3(6) of Directive 2013/34/EU ‘Medium group’ Article 3(7) of Directive 2013/34/EU ‘Large group’ Directive 2013/34/EU Article 3(1) ‘Micro undertaking’ Article 3(2) ‘Small undertaking’ Article 3(3) ‘Medium undertaking’ Article 3(4) ‘Large undertaking’ Article 3(5) ‘Small group’ Article 3(6) ‘Medium group’ Article 3(7) ‘Large group’ Regulation (EU) 575/2013 Article 4(1) ‘Small and non-complex institution’ if meeting the criteria of point (145) ‘Large institution’ if meeting the criteria of point (146) ‘Large subsidiary’ if meeting the criteria of point (147) Directive 2014/65/EU Article 4(13) ‘SME’ if meeting the criteria ‘Large’ if exceeding the criteria Directive 2014/59/EU Article 2(1), point (107) ‘Micro, small and medium-sized’ if meeting the criteria referred to in Article 2(1) of the Annex to Commission Recommendation 2003/361/EC ( 32 ) Article 2(1), point (107) ‘Large’ if exceeding the criteria referred to in Article 2(1) of the Annex to Recommendation 2003/361/EC Directive (EU) 2016/2341 Article 5 ‘Small’ if meeting the criteria ‘Large’ if exceeding the criteria Table 3 Categorisation of certain entities Entities Category Administrator of benchmarks as defined in Article 3(1), point 6 of Regulation (EU) 2016/1011 Administrator of benchmarks Central counterparty and other type of counterparties as defined in Article 2 Regulation (EU) No 648/2012 ( 33 ) CCP Central securities depository as defined in Article 2(1), point 1 of Regulation (EU) No 909/2014 ( 34 ) CSD Credit rating agency as defined in Article 3(1), point (b) of Regulation (EC) No 1060/2009 CRA Credit institution authorised in accordance with Directive 2013/36/EU Credit institution Investment firm authorised in accordance with Directive 2014/65/EU Investment firm Insurance undertaking authorised in accordance with Directive 2009/138/EC Insurance undertaking Alternative Investment Fund Managers (AIFMs) authorised or registered in accordance with Directive 2011/61/EU AIFM Management company as defined in Article 2(1), point (b) of Directive 2009/65/EC Management company Institution for occupational retirement provision as defined in Article 6(1) of Directive (EU) 2016/2341 Institution for occupational retirement Payment institutions as defined in Article 4(4) of Directive (EU) 2015/2366 ( 35 ) Payment institutions Reinsurance undertaking authorised in accordance with Directive 2009/138/EC Reinsurance Undertakings for the Collective Investment in Transferable Securities (UCITS) authorised in accordance with Directive 2009/65/EC UCITS ESG rating providers as defined in Article 3(4) of Regulation (EU) 2024/3005 on the transparency and integrity of Environmental, Social and Governance (ESG) rating activities, and amending Regulation (EU) 2019/2088 and (EU) 2023/2859 ESG rating providers Other financial market operators including in the areas of securities exchanges, commodity exchanges, financial technology and infrastructure Other financial market operators ( 1 ) Directive 2004/25/EC of the European Parliament and of the Council of 21 April 2004 on takeover bids ( OJ L 142, 30.4.2004, p. 12 , ELI: http://data.europa.eu/eli/dir/2004/25/oj ). ( 2 ) Directive 2007/36/EC of the European Parliament and of the Council of 11 July 2007 on the exercise of certain rights of shareholders in listed companies ( OJ L 184, 14.7.2007, p. 17 , ELI: http://data.europa.eu/eli/dir/2007/36/oj ). ( 3 ) Regulation (EU) No 596/2014 of the European Parliament and of the Council of 16 April 2014 on market abuse (market abuse regulation) and repealing Directive 2003/6/EC of the European Parliament and of the Council and Commission Directives 2003/124/EC, 2003/125/EC and 2004/72/EC ( OJ L 173, 12.6.2014, p. 1 , ELI: http://data.europa.eu/eli/reg/2014/596/oj ). ( 4 ) Regulation (EU) 2019/2088 of the European Parliament and of the Council of 27 November 2019 on sustainability-related disclosures in the financial services sector ( OJ L 317, 9.12.2019, p. 1 , ELI: http://data.europa.eu/eli/reg/2019/2088/oj ). ( 5 ) Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Directive 2002/92/EC and Directive 2011/61/EU ( OJ L 173, 12.6.2014, p. 349 , ELI: http://data.europa.eu/eli/dir/2014/65/oj ). ( 6 ) Regulation (EU) 2015/2365 of the European Parliament and of the Council of 25 November 2015 on transparency of securities financing transactions and of reuse and amending Regulation (EU) No 648/2012 ( OJ L 337, 23.12.2015, p. 1 , ELI: http://data.europa.eu/eli/reg/2015/2365/oj ). ( 7 ) Directive 2002/87/EC of the European Parliament and of the Council of 16 December 2002 on the supplementary supervision of credit institutions, insurance undertakings and investment firms in a financial conglomerate and amending Council Directives 73/239/EEC, 79/267/EEC, 92/49/EEC, 92/96/EEC, 93/6/EEC and 93/22/EEC, and Directives 98/78/EC and 2000/12/EC of the European Parliament and of the Council ( OJ L 35, 11.2.2003, p. 1 , ELI: http://data.europa.eu/eli/dir/2002/87/oj ). ( 8 ) Directive 2006/43/EC of the European Parliament and of the Council of 17 May 2006 on statutory audits of annual accounts and consolidated accounts, amending Council Directives 78/660/EEC and 83/349/EEC and repealing Council Directive 84/253/EEC ( OJ L 157, 9.6.2006, p. 87 , ELI: http://data.europa.eu/eli/dir/2006/43/oj ). ( 9 ) Directive 2009/65/EC of the European Parliament and of the Council of 13 July 2009 on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS) ( OJ L 302, 17.11.2009, p. 32 , ELI: http://data.europa.eu/eli/dir/2009/65/oj ). ( 10 ) Directive 2009/138/EC of the European Parliament and of the Council of 25 November 2009 on the taking-up and pursuit of the business of Insurance and Reinsurance (Solvency II) ( OJ L 335, 17.12.2009, p. 1 , ELI: http://data.europa.eu/eli/dir/2009/138/oj ). ( 11 ) Directive 2011/61/EU of the European Parliament and of the Council of 8 June 2011 on Alternative Investment Fund Managers and amending Directives 2003/41/EC and 2009/65/EC and Regulations (EC) No 1060/2009 and (EU) No 1095/2010 ( OJ L 174, 1.7.2011, p. 1 , ELI: http://data.europa.eu/eli/dir/2011/61/oj ). ( 12 ) Directive 2013/36/EU of the European Parliament and of the Council of 26 June 2013 on access to the activity of credit institutions and the prudential supervision of credit institutions, amending Directive 2002/87/EC and repealing Directives 2006/48/EC and 2006/49/EC ( OJ L 176, 27.6.2013, p. 338 , ELI: http://data.europa.eu/eli/dir/2013/36/oj ). ( 13 ) Directive 2014/59/EU of the European Parliament and of the Council of 15 May 2014 establishing a framework for the recovery and resolution of credit institutions and investment firms and amending Council Directive 82/891/EEC, and Directives 2001/24/EC, 2002/47/EC, 2004/25/EC, 2005/56/EC, 2007/36/EC, 2011/35/EU, 2012/30/EU and 2013/36/EU, and Regulations (EU) No 1093/2010 and (EU) No 648/2012, of the European Parliament and of the Council ( OJ L 173, 12.6.2014, p. 190 , ELI: http://data.europa.eu/eli/dir/2014/59/oj ). ( 14 ) Directive (EU) 2016/97 of the European Parliament and of the Council of 20 January 2016 on insurance distribution ( OJ L 26, 2.2.2016, p. 19 , ELI: http://data.europa.eu/eli/dir/2016/97/oj ). ( 15 ) Directive (EU) 2016/2341 of the European Parliament and of the Council of 14 December 2016 on the activities and supervision of institutions for occupational retirement provision (IORPs) ( OJ L 354, 23.12.2016, p. 37 , ELI: http://data.europa.eu/eli/dir/2016/2341/oj ). ( 16 ) Directive (EU) 2019/2034 of the European Parliament and of the Council of 27 November 2019 on the prudential supervision of investment firms and amending Directives 2002/87/EC, 2009/65/EC, 2011/61/EU, 2013/36/EU, 2014/59/EU and 2014/65/EU ( OJ L 314, 5.12.2019, p. 64 , ELI: http://data.europa.eu/eli/dir/2019/2034/oj ). ( 17 ) Directive (EU) 2019/2162 of the European Parliament and of the Council of 27 November 2019 on the issue of covered bonds and covered bond public supervision and amending Directives 2009/65/EC and 2014/59/EU ( OJ L 328, 18.12.2019, p. 29 , ELI: http://data.europa.eu/eli/dir/2019/2162/oj ). ( 18 ) Regulation (EC) No 1060/2009 of the European Parliament and of the Council of 16 September 2009 on credit rating agencies ( OJ L 302, 17.11.2009, p. 1 , ELI: http://data.europa.eu/eli/reg/2009/1060/oj ). ( 19 ) Regulation (EU) No 345/2013 of the European Parliament and of the Council of 17 April 2013 on European venture capital funds ( OJ L 115, 25.4.2013, p. 1 , ELI: http://data.europa.eu/eli/reg/2013/345/oj ). ( 20 ) Regulation (EU) No 346/2013 of the European Parliament and of the Council of 17 April 2013 on European social entrepreneurship funds ( OJ L 115, 25.4.2013, p. 18 , ELI: http://data.europa.eu/eli/reg/2013/346/oj ). ( 21 ) Regulation (EU) No 575/2013 of the European Parliament and of the Council of 26 June 2013 on prudential requirements for credit institutions and amending Regulation (EU) No 648/2012 ( OJ L 176, 27.6.2013, p. 1 , ELI: http://data.europa.eu/eli/reg/2013/575/oj ). ( 22 ) Regulation (EU) No 537/2014 of the European Parliament and of the Council of 16 April 2014 on specific requirements regarding statutory audit of public-interest entities and repealing Commission Decision 2005/909/EC ( OJ L 158, 27.5.2014, p. 77 , ELI: http://data.europa.eu/eli/reg/2014/537/oj ). ( 23 ) Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Regulation (EU) No 648/2012 ( OJ L 173, 12.6.2014, p. 84 , ELI: http://data.europa.eu/eli/reg/2014/600/oj ). ( 24 ) Regulation (EU) No 1286/2014 of the European Parliament and of the Council of 26 November 2014 on key information documents for packaged retail and insurance-based investment products (PRIIPs) ( OJ L 352, 9.12.2014, p. 1 , ELI: http://data.europa.eu/eli/reg/2014/1286/oj ). ( 25 ) Regulation (EU) 2015/760 of the European Parliament and of the Council of 29 April 2015 on European long-term investment funds ( OJ L 123, 19.5.2015, p. 98 , ELI: http://data.europa.eu/eli/reg/2015/760/oj ). ( 26 ) Regulation (EU) 2016/1011 of the European Parliament and of the Council of 8 June 2016 on indices used as benchmarks in financial instruments and financial contracts or to measure the performance of investment funds and amending Directives 2008/48/EC and 2014/17/EU and Regulation (EU) No 596/2014 ( OJ L 171, 29.6.2016, p. 1 , ELI: http://data.europa.eu/eli/reg/2016/1011/oj ). ( 27 ) Regulation (EU) 2017/1131 of the European Parliament and of the Council of 14 June 2017 on money market funds ( OJ L 169, 30.6.2017, p. 8 , ELI: http://data.europa.eu/eli/reg/2017/1131/oj ). ( 28 ) Regulation (EU) 2019/1238 of the European Parliament and of the Council of 20 June 2019 on a pan-European Personal Pension Product (PEPP) ( OJ L 198, 25.7.2019, p. 1 , ELI: http://data.europa.eu/eli/reg/2019/1238/oj ). ( 29 ) Regulation (EU) 2019/2033 of the European Parliament and of the Council of 27 November 2019 on the prudential requirements of investment firms and amending Regulations (EU) No 1093/2010, (EU) No 575/2013, (EU) No 600/2014 and (EU) No 806/2014 ( OJ L 314, 5.12.2019, p. 1 , ELI: http://data.europa.eu/eli/reg/2019/2033/oj ). ( 30 ) Regulation (EU) 2023/1114 of the European Parliament and of the Council of 31 May 2023 on markets in crypto-assets, and amending Regulations (EU) No 1093/2010 and (EU) No 1095/2010 and Directives 2013/36/EU and (EU) 2019/1937 ( OJ L 150, 9.6.2023, p. 40 , ELI: http://data.europa.eu/eli/reg/2023/1114/oj ). ( 31 ) Regulation (EU) 2023/2631 of the European Parliament and of the Council of 22 November 2023 on European Green Bonds and optional disclosures for bonds marketed as environmentally sustainable and for sustainability-linked bonds ( OJ L, 2023/2631, 30.11.2023, ELI: http://data.europa.eu/eli/reg/2023/2631/oj ). ( 32 ) Commission Recommendation of 6 May 2003 concerning the definition of micro, small and medium-sized enterprises (notified under document number C(2003) 1422) ( OJ L 124, 20.5.2003, p. 36 , ELI: http://data.europa.eu/eli/reco/2003/361/oj ). ( 33 ) Regulation (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories ( OJ L 201, 27.7.2012, p. 1 , ELI: http://data.europa.eu/eli/reg/2012/648/oj ). ( 34 ) Regulation (EU) No 909/2014 of the European Parliament and of the Council of 23 July 2014 on improving securities settlement in the European Union and on central securities depositories and amending Directives 98/26/EC and 2014/65/EU and Regulation (EU) No 236/2012 ( OJ L 257, 28.8.2014, p. 1 , ELI: http://data.europa.eu/eli/reg/2014/909/oj ). ( 35 ) Directive (EU) 2015/2366 of the European Parliament and of the Council of 25 November 2015 on payment services in the internal market, amending Directives 2002/65/EC, 2009/110/EC and 2013/36/EU and Regulation (EU) No 1093/2010, and repealing Directive 2007/64/EC ( OJ L 337, 23.12.2015, p. 35 , ELI: http://data.europa.eu/eli/dir/2015/2366/oj ).
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