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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
09/08/2011 JC IFC List of identified financial conglomerates Reference PDF
172.11 KB
23/03/2012 JC 2011/82 Joint Committee of the ESAs- Work programme 2012 Reference PDF
89.31 KB
23/03/2012 JC 2011/17 Medium term strategy for the Joint Committee Reference PDF
152.87 KB
17/04/2012 JC/2011/17 Medium term strategy for the Joint Committee Reference PDF
152.75 KB
17/04/2012 JC/2011/82 Joint Committee of the ESAs- Work programme 2012 Overview of deliverables Reference PDF
89.31 KB
20/06/2012 2012/378 Operation of notifications of MiFID Article 41 suspensions and removals of financial instruments from trading Reference PDF
353.3 KB
This protocol has been created to ensure effective co-operation between Competent Authorities (CAs) with respect to their obligations under Article 41 of MiFID (Suspension and removal of in-struments from trading).The purpose of the notification obligations under Article 41 is to afford investors across all Mem-ber States the same level of protection regardless of where they trade. In order to achieve this outcome, a shared understanding of the different circumstances under which trading may be suspended in different Member States according to their national law and the expected course of action under Article 41 is helpful. To ensure trading is suspended or an instrument is removed from trading in an effective and timely way, an effective communication process is necessary.The protocol will be kept under review in light of practical experience.
20/07/2012 JC/2012/12 List of identified financial conglomerates Reference PDF
106.78 KB
25/07/2012 2012/478 ESMA MiFID database- description of webservice Reference PDF
123.71 KB
This document provides useful information for developers wanting to use the webservice provided in ESMA's MIFID databases.
01/08/2012 2012/490 Call for expressions of interest in ESMA's Consultative Working Group on Investor Protection and Intermediaries Standing Committee Reference PDF
130.34 KB
The deadline for responses to this call for interest has been extended two weeks, to 14 September 2012.
02/08/2012 JC/P/2012/01 ESAs supervisory protocol on anti-money laundering of payment institutions Reference PDF
606.88 KB
19/10/2012 2012/682 Guide to investing , Reference PDF
569.39 KB
24/10/2012 JC/2012/88 EBA, EIOPA and ESMA’s Response to the European Commission’s Call for Advice on the Fundamental Review of the Financial Conglomerates Directive Reference PDF
590.58 KB
19/12/2012 2012/850 MiFID supervisory briefing- Suitability Reference PDF
238 KB
11/01/2013 EBA/REC/2013/01 EBA Recommendations on supervisory oversight of activities related to banks’ participation in the Euribor panel Reference PDF
207.84 KB
16/01/2013 JC/2013/02 Joint Committee of the ESAs’ 2013 Work Programme Reference PDF
78.96 KB
In 2013, the Joint Committee will give high priority to the areas of consumer protection and risk analysis. The Joint Committee will also pursue the regulatory work initiated in 2012 in key areas such as Financial Conglomerates, AntiMoney Laundering and Credit Ratings, and will give more visibility to its work to externalstakeholders.
19/07/2013 MOU ACER ESMA MoU between ESMA and ACER concerning the consultation and cooperation regarding their regulatory responsibilities in relation to EU wholesale energy market Reference PDF
207.61 KB
02/10/2013 JC/2013/051 Joint Committee of the ESAs’ 2014 Work Programme Reference PDF
90.99 KB
The Joint Committee of the European Supervisory Authorities (EBA, ESMA, EIOPA) publishes today its Work Programme for next year. Throughout 2014, the Joint Committee will give high priority to the areas of Consumer Protection and Cross-Sectoral Risk Analysis, as in the current year. The Joint Committee will also bring forward its regulatory work already underway in key areas such as Financial Conglomerates, Anti-Money Laundering, Benchmark setting processes and Credit Rating Agencies. Furthermore, the Joint Committee will keep on monitoring closely legislative and regulatory developments both at the European and international level, so as to ensure appropriate and timely follow-up, including in relation to Systemically Important Financial Institutions (SIFIs).
02/12/2013 2013/1792 Call for expressions of interest regarding the establishment of the Consultative Working Group of the ESMA Market Data Reporting Working Group Reference PDF
98.24 KB
Deadline for applications is 3 January 2014.
28/02/2014 2014/205 Call for expressions of interest: Group of Economic Advisers for ESMA’s Committee for Economic and Markets Analysis Reference PDF
158.95 KB
The European Securities and Markets Authority (ESMA) is seeking to appoint new members to its Group of Economic Advisors (GEA) for the Committee for Economic and Markets Analysis (CEMA). This follows the expiry of the term of the current GEA. CEMA has established the GEA in order to benefit from the expertise of stakeholders specialised in the topics of financial stability and general economic research related to financial markets. CEMA looks to this group to provide it with advice regarding our work related to financial stability and economic background analysis for the regulatory and supervisory tasks of ESMA. The closing date for application is 25 April 2014.  Application form
11/06/2014 ESMA/WP/2 ESMA Working Paper- The systemic dimension of hedge fund illiquidity and prime brokerage Reference PDF
839.63 KB
We analyse the potentially vulnerable and systemically relevant financial intermediation chain established by hedge funds and prime brokers. Our dataset covers the 306 largest global hedge funds and their prime brokers over the period July 2001 to December 2011. The study illustrates that hedge funds and prime brokers act as complementary trading partners in normal times. However, we observe that this form of financial intermediation may be severely impaired in times of market distress. This can be explained by the hoarding of liquid securities by prime brokers who are eager to avert runs by their clients.

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