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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|17/05/2011||2011/BS/123||Decision of the Board of Supervisors- Appointment of the Securities and Markets Stakeholder Group||Board of Supervisors, Securities and Markets Stakeholder Group||Decision||PDF
|19/12/2011||2011/BS/229||Decision of the European Securities and Markets Authority establishing its Review Panel||Board of Supervisors, Corporate Information, Supervisory convergence||Decision||PDF
|This decision establishes the Review Panel of ESMA and sets out its mandate.|
|20/03/2013||2013/317||Framework for the assessment of third country prospectuses under Article 20 of the Prospectus Directive||Prospectus, Corporate Disclosure||Opinion||PDF
|18/12/2013||2013/1944||Format of the base prospectus and consistent application of Article 26(4) of the Prospectus Regulation||Prospectus, Corporate Disclosure||Opinion||PDF
|20/12/2013||2013/1970||Draft Regulatory Technical Standards on specific situations that require the publication of a supplement to the prospectus||Prospectus, Corporate Disclosure||Technical Standards||PDF
|The Final Report contains the draft Regulatory Technical Standard (RTS) on situations which require the publication of a supplement to the prospectus which ESMA is required to submit to the European Commission by 1 January 2014 in accordance with Article 16(3) of the Prospectus Directive. The Report furthermore includes a summary of the main responses received to ESMA’s Consultation Paper which was published in March 2013. The draft RTS sets out nine situations which are always considered to be significant in the context of securities issuance and where a supplement to the prospectus will always be required. Other situations would require a case-by-case assessment.|
|07/02/2014||2014/146||MiFID practices for firms selling complex products||MiFID - Investor Protection, Warnings and publications for investors||Opinion||PDF
|08/02/2016||2016/268||Opinion on equivalence of Turkish prospectus regime||Prospectus||Opinion||PDF
|31/03/2016||2016/408||Decision to adopt a supervisory measure taking the form of a public notice and to impose a fine in accordance with Statement of Findings in accordance with Articles 64(5), 65, 67 and 73 of Regulation (EC) No 648/2012 EMIR||Trade Repositories||Decision||PDF
Decision to adopt a supervisory measure taking the form of a public notice and to impose a fine in accordance with Statement of Findings in accordance with Articles 64(5), 65, 67 and 73 of Regulation (EC) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories
Public notice regarding negligent breach by DTCC Derivatives Repository Ltd of its legal obligation to ensure immediate access for regulators to data reported under EMIR
DTCC Derivatives Repository Ltd (‘DDRL’) is a trade repository registered in the European Union and is part of the DTCC group which includes a number of companies providing post-trading services to the global financial services industry. DDRL was registered by ESMA as a trade repository under Regulation (EU) No 648/2012 on OTC derivatives, central counterparties and trade repositories (‘EMIR’) on 7 November 2013. ESMA has responsibilities for the supervision and enforcement of provisions under EMIR concerning DDRL and other trade repositories registered in the EU.
In May 2014, ESMA’s supervisory team became aware of delays in providing regulators with access to data reported to DDRL under EMIR. Following further examination, the supervisory team formed the view that there were serious indications of the possible existence of facts liable to constitute one or more of the infringements listed in EMIR. The matter was accordingly referred to an independent investigation officer (the ‘IIO’). The IIO considered the evidence referred to him and conducted further investigations, before submitting his findings to ESMA’s Board of Supervisors (the ‘ESMA Board’).
Based on the findings of the IIO and the evidence put before it, the ESMA Board found on 23 March 2016 that an examination of the facts showed that DDRL had committed the following infringement under EMIR and had done so negligently. DDRL committed an infringement of EMIR by not allowing regulators and supervisors direct and immediate access to the details of derivatives contracts they need to fulfil their responsibilities and mandates.
|31/05/2017||ESMA42-110-433||General Principles to support supervisory convergence in the context of the UK withdrawing from the EU||Brexit, Supervisory convergence||Opinion||PDF
The European Securities and Markets Authority’s (ESMA) competence to deliver an opin-ion is based on Article 29(1)(a) of Regulation (EU) No 1095/2010 of the European Parliament and of the Council (ESMA Regulation). In accordance with Article 44(1) of the ESMA Regulation, the Board of Supervisors has adopted this opinion.
|01/06/2017||ESMA41-137-1005||Decision of the Board of Supervisors to adopt a supervisory measure and impose fines with respect to infringements by Moody’s Deutschland GmbH and Moody’s Investors Service Limited||Board of Supervisors, Credit Rating Agencies||Decision||PDF
|13/07/2017||ESMA35-45-344||Opinion to support supervisory convergence in the area of investment management in the context of the United Kingdom withdrawing from the European Union||Brexit, Fund Management, Supervisory convergence||Opinion||PDF
|13/07/2017||ESMA35-43-762||Opinion to support supervisory convergence in the area of investment firms in the context of the United Kingdom withdrawing from the European Union||Brexit, MiFID - Investor Protection, Supervisory convergence||Opinion||PDF
|13/07/2017||ESMA70-154-270||Opinion to support supervisory convergence in the area of secondary markets in the context of the United Kingdom withdrawing from the European Union||Brexit, MiFID - Secondary Markets, Supervisory convergence||Opinion||PDF
|11/10/2018||ESMA70-155-5775||Delegation third country TV post trade transparency||Board of Supervisors, MiFID - Secondary Markets||Decision||PDF
|11/10/2018||ESMA70-155-5905||Delegation_from_the_BoardofSupervisors_opinions on third country TV_PositionLimits||Board of Supervisors, MiFID - Secondary Markets||Decision||PDF
|17/10/2019||ESMA74-362-111||Decision on delegation to the Chair the adoption of changes to technical instructions on IT and data matters||Board of Supervisors||Decision||PDF
|11/02/2020||ESMA22-328-356||Decision of the Board of Supervisors- Election of Management Board Members||Board of Supervisors, Management Board||Decision||PDF
|06/11/2020||ESMA70-155-11210||Delegation third country TV post trade transparency||Board of Supervisors, MiFID - Secondary Markets||Decision||PDF
|30/03/2021||ESMA41-356-114||Decision 1-2021 Moody's UK||Board of Supervisors, Credit Rating Agencies||Decision||PDF
|30/03/2021||ESMA41-356-129||Decision 2-2021 Moody's France||Board of Supervisors, Credit Rating Agencies||Decision||PDF