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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).
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.
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.
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.
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.
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.
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 ).
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 (EUR-Lex). Retrieved via LawPlayer, https://lawplayer.com/eu/act/32025R1338
© European Union, https://eur-lex.europa.eu, 1998-2026. Reuse authorised under Commission Decision 2011/833/EU, provided the source is acknowledged.
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