ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
16/12/2016 2016/1669 2016-1669 Q&A on AIFMD Fund Management Q&A PDF
436.68 KB
19/12/2016 2016/1673 2016-1673 Q&A on MiFID II commodity derivatives topics MiFID - Secondary Markets Q&A PDF
338.93 KB
28/09/2015 2015-ESMA-1464 Annex II Annex II- CBA- draft RTS and ITS on MiFID II and MiFIR MiFID - Secondary Markets Final Report PDF
5.07 MB
25/02/2015 2015/494 Best Execution under MiFID MiFID - Investor Protection, Supervisory convergence Final Report PDF
761.62 KB		 The European Securities and Markets Authority (ESMA) has conducted a peer review on how national regulators (national competent authorities or NCAs) supervise and enforce the MiFID provisions relating to investment firms’ obligation to provide best execution, or obtain the best possible result, for their clients when executing their orders. ESMA found that the level of implementation of best execution provisions, as well as the level of convergence of supervisory practices by NCAs, is relatively low. In order to address this situation a number of improvements were identified, including: • prioritisation of best execution as a key conduct of business supervisory issue; • the allocation of sufficient resources to best execution supervision; and • a more proactive supervisory approach to monitoring compliance with best execution requirements, both desk-based and onsite inspections. The review was conducted on the basis of information provided by 29 NCAs and complemented by on-site visits to the NCAs of France, Liechtenstein, Luxembourg, Malta, Poland and Spain.
10/06/2013 2013/619 Comparison of liability regimes in Member States in relation to the Prospectus Directive Prospectus, Corporate Disclosure Final Report PDF
596.91 KB		 The European Securities and Markets Authority (ESMA) has published a report on the Comparison of liability regimes in Member States in relation to the Prospectus Directive.   This is the first report of its kind and provides a comparison of liability regimes covering the EEA – comprising the 27 EU Member States along with Iceland and Norway and is aimed at providing clarity for market participants about the different regimes in place. The report contains an overview of the different arrangements and frameworks in place in  EEA States to address administrative, criminal, civil and governmental liability, and provides clarity to market participants about the different regimes in place. The report was compiled in response to a European Commission request of January 2011 for assistance in identifying and monitoring the different regimes in EEA states.   The report does not cover how the regimes, or sanctions, are applied.    Report Comparison of liability regimes in Member States in relation to the Prospectus Directive Annex II Comparative table of responses from EEA States Annex III Individual responses from EEA States
14/02/2013 2013/218 Considerations of materiality in financial reporting Corporate Disclosure, IFRS Supervisory Convergence Final Report PDF
446.95 KB
07/06/2019 ESMA32-60-474 Draft RTS amending Delegated Regulation (EU) 2018/815 on the updates of the taxonomy to be used for the ESEF Corporate Disclosure, European Single Electronic Format Final Report PDF
6.5 MB
26/05/2016 2016/725 Draft RTS on indirect clearing arrangements under EMIR and MiFIR Guidelines and Technical standards, Post Trading, MiFID - Secondary Markets Final Report PDF
740.71 KB
28/09/2020 ESMA35-43-2424 Draft technical standards on the provision of investment services and activities in the Union by third-country firms under MiFID II and MiFIR MiFID - Investor Protection Final Report PDF
1.23 MB
23/07/2015 2015/1136 EEA prospectus activity in 2014 Prospectus, Corporate Disclosure Final Report PDF
578.07 KB
23/10/2014 2014/1276 ESMA Data on Prospectuses Approved and Passported – January 2013 to December 2013 Prospectus, Corporate Disclosure Final Report PDF
285.12 KB		 The report compiles statistical data regarding the number of prospectuses approved and passported by National Competent Authorities in the period from January 2013 to December 2013 (with a quarterly disclosure).
23/10/2014 2014/1277 ESMA Data on Prospectuses Approved and Passported – January 2014 to June 2014 Prospectus, Corporate Disclosure Final Report PDF
211.96 KB		 The report compiles statistical data regarding the number of prospectuses approved and passported by National Competent Authorities in the period from January 2014 to June 2014 (with a quarterly disclosure).
25/09/2012 2012/602 ESMA Data on Prospectuses Approved and Passported- January 2011 to December 2011 Prospectus, Corporate Disclosure Final Report PDF
573.49 KB
25/09/2012 2012/603 ESMA Data on Prospectuses Approved and Passported- January 2012 to June 2012 Prospectus, Corporate Disclosure Final Report PDF
431.12 KB		 NOTE: This Report is an amended version of the Report published on 25 September 2012. The previously published Report was amended on 15 May 2013 following the discovery of factual errors in the statis-tical information in Section III.2.   Title ESMA Data on Prospectuses Approved and Passported - January 2012 to June 2012
14/06/2013 2013/741 ESMA Data on Prospectuses Approved and Passported—January 2012 to December 2012 Prospectus, Corporate Disclosure Final Report PDF
457.11 KB		 The report compiles statistical data regarding the number of prospectuses approved and passported by National Competent Authorities in the period from January 2012 to December 2012 (with a quarterly disclosure).
18/12/2013 2013/1943 ESMA Data on Prospectuses Approved and Passported—January 2013 to June 2013 Prospectus, Corporate Disclosure Final Report PDF
338.17 KB
30/06/2015 2015/1057 ESMA Guidelines on Alternative Performance Measures Corporate Disclosure, IFRS Supervisory Convergence Final Report PDF
484.57 KB
15/07/2020 ESMA31-62-1426 ESMA Guidelines on disclosure requirements under the Prospectus Regulation Prospectus Final Report PDF
1.41 MB
31/03/2015 2015/659 ESMA Report on Enforcement and Regulatory Activities of Accounting Enforcers in 2014 Corporate Disclosure, IFRS Supervisory Convergence Final Report PDF
633.7 KB
07/04/2016 JC/2016/21 Final Draft RTS PRIIPs KID Report Fund Management, Joint Committee Final Report PDF
2.63 MB

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