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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
14/02/2020 SMSG 2020 SMSG application form 2020 Reference DOCX
38.1 KB
25/08/2014 JC/2014/43 lt Vertybinių popierių (ESMA) ir bankų (EBI) sektorių skundų nagrinėjimo gairės , Reference PDF
153.6 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.

02/10/2017 ESMA71-99-608 Annex (Template for the Assessment of Collective Suitability) , Reference XLSX
72.7 KB
07/10/2020 ESMA42-646012687-331 ESMA Guidelines , Reference XLSX
62.44 KB
15/07/2020 ESMA42-111-4128 PEER REVIEW ON GUIDELINES ON ENFORCEMENT OF FINANCIAL INFORMATION- Country report DE , , Report PDF
285.02 KB
16/10/2020 ESMA42-110-812 Notifications of Compliance with Guidelines – Overview Table Reference XLSX
81.99 KB
05/10/2020 ESMA41-140-79 Technical standards , Reference XLSX
120.37 KB
11/05/2017 ESMA32-60-172 Invitation to the ESMA European Single Electronic Format Meet-the-Market Workshop , , Reference PDF
270.83 KB
31/07/2019 ESMA31-67-535 Practical Guide on notifications of major holdings under the Transparency Directive , , Reference PDF
643.2 KB
03/01/2019 ESMA22-16-1603 SMSG End of Term Report 2018 Report PDF
649.37 KB
04/12/2017 ESMA22-106-535 SMSG Report on Access to public capital markets for SMEs Report PDF
1.11 MB
01/12/2017 ESMA22-106-484 2018 SMSG application form , Reference DOCX
39.24 KB
01/12/2017 ESMA22-106-483 SMSG Expresssion of interest 30 November 2017 , Reference PDF
321.68 KB
17/07/2020 ESMA22-106-2738 Own Initiative SMSG Report II on Covid-19 related Issues Report PDF
183.42 KB
14/02/2020 ESMA22-106-2097 Call for expression of interest to the ESMA Securities and Markets Stakeholder Group (SMSG) Reference PDF
128.74 KB
14/02/2020 ESMA22-106-2062 Procedure- ESMA Stakeholder Group Renewal Procedure 2020 Reference PDF
234.62 KB
05/04/2019 ESMA22-106-1736 SMSG Application Form 2019 , Reference DOCX
37.21 KB
05/04/2019 ESMA22-106-1733 Call for expression of interest- consumers, employee reps, SMEs April 2019 , Reference PDF
183.71 KB
01/04/2019 ESMA22-106-1731 SMSG Credit Ratings Disclosures advice Report PDF
209.66 KB
01/04/2019 esma22-106-1710 smsg_advice_on_stor_peer_review Report PDF
189.48 KB

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