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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
23/03/2011 2011/81 Recommendations- ESMA update of the CESR recommendations on the consistent implementation of Commission Regulation (EC) No 809/2004 implementing the Prospectus Directive , , Guidelines & Recommendations PDF
593.19 KB
20/12/2013 2013/1970 Draft Regulatory Technical Standards on specific situations that require the publication of a supplement to the prospectus , Technical Standards PDF
713.74 KB
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.
20/03/2013 2013/319 The consistent implementation of Commission Regulation (EC) No 809/2004 implementing the Prospectus Directive , Guidelines & Recommendations PDF
540.48 KB

This document contains an update of the CESR recommendations.

14/09/2015 2015/1380 Statement by Steven Maijoor Chair ESAs Joint Committee- ECON Hearing 14 September 2015 , Speech PDF
100.82 KB
22/06/2016 2016/989 Speech ISLA's 25th Anniversary Conference- Steven Maijoor, 22 June 2016, Vienna , Speech PDF
242.25 KB
14/10/2021 ESMA24-436-13 Opening Statement ECON Hearing 14 October 2021 , , , , , , , , , Speech PDF
690.55 KB
14/10/2021 ESMA24-436-15 Annex to the Opening Statement ECON Hearing 14 October 2021 , , , , , , , , , Speech PDF
415.73 KB
01/10/2019 ESMA31-62-1293 Guidelines on risk factors under the Prospectus Regulation , Guidelines & Recommendations PDF
227.52 KB

BG  - Преводът е предоставен от Центъра за преводи за органите на Европейския съюз.

CS - Tento překlad vypracovalo Překladatelské středisko pro instituce Evropské unie.

DA - Denne oversættelse er udarbejdet af Oversættelsescentret for Den Europæiske Unions Organer.

DE - Die Übersetzung erfolgte durch das Übersetzungszentrum für die Einrichtungen der Europäischen Union.

EL - Η παρούσα μετάφραση έγινε από το Μεταφραστικό Κέντρο των Οργάνων της Ευρωπαϊκής Ένωσης.

ES - Texto traducido por el Centro de Traducción de los Órganos de la Unión Europea.

ET - Selle tõlke tegi Euroopa Liidu Asutuste Tõlkekeskus.

FI - Euroopan unionin elinten käännöskeskus on tehnyt tämän käännöksen.

FR - La présente traduction a été fournie par le Centre de traduction des organes de l’Union européenne. 

HR - Za prijevod se pobrinuo Prevoditeljski centar za tijela Europske unije.

HU - Ezt a fordítást az Európai Unió.

IT - La presente traduzione è stata fornita dal Centro di traduzione degli organismi dell’Unione europea.

LT - Šį tekstą išvertė Europos Sąjungos įstaigų vertimo centras.

LV - Šo tulkojumu ir nodrošinājis Eiropas Savienības iestāžu Tulkošanas centrs.

MT - Din it-traduzzjoni ġiet ipprovduta  miċ-Ċentru tat-Traduzzjoni għall-Korpi tal-Unjoni Ewropea.

NL - Deze vertaling is verzorgd door het Vertaalbureau voor de organen van de Europese Unie.

PL - Tłumaczenie wykonane przez Centrum Tłumaczeń dla Organów Unii Europejskiej.

PT - Esta tradução foi fornecida pelo Centro de Tradução dos Organismos da União Europeia.

RO - Această traducere a fost asigurată de Centrul de Traduceri pentru Organismele Uniunii Europene.

SK - Preklad vyhotovilo Prekladateľské stredisko pre orgány Európskej únie.

SL - Prevod je zagotovil Prevajalski center za organe Evropske unije.

SV - Den här översättningen har utförts av Översättningscentrum för Europeiska unionens organ.

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01/07/2021 ESMA31-62-1409 Compliance table GLs on Risk factors Compliance table PDF
131.48 KB
04/03/2021 ESMA32-382-1138 Guidelines on disclosure requirements under the Prospectus Regulation , Guidelines & Recommendations PDF
549.46 KB
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08/07/2021 ESMA32-382-1157 Compliance table on disclosure requirements under the Prospectus Regulation Compliance table PDF
124.29 KB
28/10/2021 ESMA35-36-2319 EN Joint EBA and ESMA Guidelines on the assessment of the suitability of members of the management body and key function holders , , Guidelines & Recommendations PDF
584.29 KB
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17/12/2021 ESMA35-43-1215 Compliance table for Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body , , Compliance table PDF
302.18 KB
08/02/2017 ESMA71-844457584-346 Review of the European Supervisory Authorities: Opportunities to ensure a safe and sound financial system , Speech PDF
187.98 KB
26/09/2017 ESMA71-99-598 Final Report on Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body and key function holders , , Guidelines & Recommendations PDF
1.48 MB
21/03/2018 ESMA71-99-598 Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body and key function holders , , Guidelines & Recommendations ZIP
871.26 KB
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14/12/2021 ESMA74-362-2176 Guidelines on calculation of positions in SFTs by Trade Repositories , , Guidelines & Recommendations PDF
272.07 KB
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29/07/2013 JC 2013/01 Final Draft Regulatory Technical Standards Technical Standards PDF
1.17 MB
23/12/2014 JC/2014/092 Draft RTS on risk concentration and intra-group financial transactions under Financial Conglomerates Directive Technical Standards PDF
819.76 KB
13/06/2014 JC/2014/43 Joint Committee Final Report on guidelines for complaints-handling for the securities (ESMA) and banking (EBA) sectors , Guidelines & Recommendations PDF
312.66 KB
The European Securities and Markets Authority (ESMA) and the European Banking Authority (EBA) published today their Joint Committee final Report on guidelines for handling consumer complaints in the securities and banking sectors. The document aims to increase market confidence and for the benefit of consumers and firms alike it will ensure a harmonised approach to handling complaints for all 28 EU Member States and across all financial services sectors.The final report published today is part of the efforts of the European Supervisory Authorities to bring further supervisory convergence across the securities and banking sectors. It was developed on the basis of the existing complaints-handling guidelines established by EIOPA (the European Insurance and Occupational Pensions Authority) for the insurance sector. The report was launched for a public consultation last year and this final version takes into consideration the feedback received.ESMA and the EBA consider that these guidelines will ensure a consistent approach to complaints-handling across the EU. Consumers can purchase financial services and products in the investment, banking and insurance sectors across the entire EU Single Market and these guidelines will allow them to refer to a single set of complaints-handling arrangements. EU consumers will therefore be able to rely on the same approach irrespective of what type of product they have purchased and where they have purchased it.In addition to strengthening consumer protection -a key statutory objective for ESMA and for the EBA-, the guidelines will also allow firms, some of which sell products from more than one sector across the EU, to streamline and standardise their own complaints-handling arrangements. National regulators too will be able to supervise the same harmonised requirements across all sectors of financial services in their own jurisdictions.The guidelines will be translated into the official languages of the European Union (EU) and they will become applicable two months after the date of publication of their translations.

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