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Guidelines and Technical Standards

GUIDELINES AND TECHNICAL STANDARDS

The elaboration and issuance of Technical Standards and Guidelines are key parts of ESMA's work.  All documents are available in the main library, and on this page we provide an overview with the links to the specific documents.

Guidelines

In order to promote supervisory convergence ESMA has the power to issue guidelines (Article 16ESMA Regulation 1095/2010) which are addressed to competent authorities or, as the case may be, to market participants. In the context of developing the guidelines ESMA will, where appropriate, conduct open public consultation. ESMA is entitled to receive information from competent authorities or, as the case may be, from market participants whether they comply with the guidelines and to publish the reasons of supervisory authorities’ non-compliance.

The documents below provide an overview of all guidelines published on our website, with information about the process and related documents.

Guidelines under Public Consultation

Final Guidelines

National implementation of guidelines

Technical standards

According to Articles 10 et seq. Regulation 1095/2010 ESMA is entitled to elaborate technical standards to be submitted to the Commission for endorsement. Depending on the level 1 mandate ESMA will either develop regulatory technical standards which are endorsed by the Commission by means of delegated acts under Article 290 TFEU or implementing technical standards which are adopted by the Commission by means of implementing acts under Article 291 TFEU. Usually, ESMA will conduct open public consultations before submitting the technical standards to the Commission.

In the documents below ESMA provides an overview of all technical standards  published on our website, with information about the process and related documents.

Technical Standards in force

Technical Standards under Public Consultation

Technical Standards submitted to the European Commission