Page 49 - 期货和衍生品行业监管动态（2024年12月刊）

期货和衍生品行业监管动态

During the first stage of the selection procedure, the exclusion criteria will be

used to assess if applicants can be invited to submit their applications in the second

stage of the procedure. ESMA will require specific documentation from applicants,

including a declaration of honour and valid evidence on exclusion criteria.

The publication released today includes an indicative overview of the relevant

certificates issued in each EU Member State for such evidence. Further information to

be found in the Guidance and on the eCertis webpage.

Next steps

ESMA stands ready to answer general questions on the exclusion criteria via the

dedicated contact form of its website, if they do not touch upon the specifics of the

forthcoming selection procedures.

Background

ESMA will launch the selection procedure for the CTP for bonds on Friday 3

January 2025, and for the CTP for shares and Exchange Traded Funds (ETFs) in June

2025.

https://www.esma.europa.eu/press-news/esma-news/esma-announces-further-guidanc
e-exclusion-criteria-selection-consolidated-tape

14. 欧盟能源监管合作机构与欧盟证券与市场管理局合作以加强对企业和消费

者免受能源市场滥用的保护（2024 年 12 月 6 日）

第七届年度能源交易执法论坛（Energy Trading Enforcement Forum, ETEF）

于 2024 年 12 月 3 日在卢布尔雅那举行，来自欧盟能源监管合作机构（ACER）、

欧盟证券与市场管理局（ESMA）、各成员国能源监管机构（NRAs）以及各成

员国金融监管机构（NCAs）的 75 多名代表出席论坛，旨在加强能源和金融市场

的监管合作。

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