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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
03/10/2013 2013/1400 20 September 2013 meeting of the Principals of the OTC Derivative Regulators Group , Press Release PDF
86.63 KB

Principals and senior representatives of authorities responsible for the regulation of the over-the-counter (OTC) derivatives markets in Australia, Brazil, the European Union, Hong Kong, Japan, Ontario, Québec, Singapore, Switzerland and the United States met on 20 September 2013 at the headquarters of the European Securities and Markets Authority (ESMA) in Paris.  The Principals and representatives include:  ·         Steven Maijoor, Chair of the European Securities and Markets Authority (ESMA); ·         Greg Medcraft, Chairman of the Australian Securities and Investments Commission; ·         Leonardo Pereira, Chairman of the Comissão de Valores Mobiliários (Brazil); ·         Patrick Pearson, Acting Director at the European Commission; ·         Ashley Alder, Chief Executive Officer of the Hong Kong Securities and Futures Commission; ·         Masamichi Kono, Vice-Commissioner of the Japan Financial Services Agency; ·         Howard Wetston, Chair of the Ontario Securities Commission; ·         Anne Héritier Lachat, Chair of the Swiss Financial Market Supervisory Authority; ·         Gary Gensler, Chairman of the United States Commodity Futures Trading Commission; ·         Mary Jo White, Chair of the United States Securities and Exchange Commission; ·         Chuan Teck Lee, Assistant Managing Director at the Monetary Authority of Singapore; ·         Louis Morisset, President and CEO, l’Autorité des marchés financiers du Québec.  The Principals discussed generally: the application of clearing requirements to foreign branches and affiliates; risk mitigation techniques for non-centrally cleared derivatives transactions, such as timely confirmation, portfolio reconciliation, portfolio compression, valuation and dispute resolution; the need to co-operate in the implementation of internationally agreed standards on margin for non-centrally cleared derivatives transactions; co-operation on equivalence and substituted compliance assessments among the relevant authorities; and co-operation between authorities in the supervision of registered foreign entities;  The Principals agreed to meet again in February to continue the discussion of the above points.

21/12/2016 2016/1682 2016-1682 Press Release on Feedback Statement on ESEF , , , Press Release PDF
225.03 KB
01/10/2013 2013/606 DA Aflønningspolitik og-praksis (MiFID) , Guidelines & Recommendations PDF
357.25 KB
01/10/2013 2013/606 LT Atlyginimų nustatymo politika ir praktika (FPRD) , Guidelines & Recommendations PDF
268.28 KB
01/10/2013 2013/606 LV Atlīdzības politika un prakse (FITD) , Guidelines & Recommendations PDF
339.96 KB
01/10/2013 2013/606 NL Beloningsbeleid en beloningspraktijken (MiFID) , Guidelines & Recommendations PDF
319.71 KB
03/10/2018 ESMA70-154-803 BoS Decision Notice AT Guidelines Withdrawal , Guidelines & Recommendations PDF
512.94 KB
27/10/2015 2015/1606 Common enforcement priorities for 2015 financial statements , Press Release PDF
138.19 KB
11/07/2017 ESMA70-151-435 CSDR guidelines on cooperation between authorities under Articles 17 and 23 of Regulation (EU) No 909/2014 Guidelines & Recommendations PDF
350.97 KB
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01/06/2018 ESMA70-708036281-66 CSDR guidelines on relevant currencies Guidelines & Recommendations PDF
537.76 KB
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24/05/2018 ESMA70-708036281-67 CSDR guidelines on substantial importance of CSDs Guidelines & Recommendations PDF
543.26 KB
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01/06/2017 ESMA70-708036281-73 CSDR substential importance indicators- template Guidelines & Recommendations XLSX
140.54 KB
28/09/2012 2012/388 ES Directrices acerca de ciertos aspectos de los requisitos del órgano de verificación del cumplimiento de la MiFID , Guidelines & Recommendations PDF
359.25 KB
21/08/2012 2012/387 ES Directrices relativas a determinados aspectos de los requisitos de idoneidad de la MiFID , Guidelines & Recommendations PDF
347.12 KB
26/09/2017 ESMA71-99-599 EBA and ESMA provide guidance to assess the suitability of management body members and key function holders , , , Press Release PDF
243.97 KB

The European Banking Authority (EBA) and the European Securities and Markets Authority (ESMA) have published their joint Guidelines to assess the suitability of members of management bodies and key function holders.

01/10/2013 2013/606 SV Ersättningspolicy och ersättningspraxis (MiFID-direktivet) , Guidelines & Recommendations PDF
248.72 KB
29/05/2019 ESMA71-99-1168 ESMA adjusts application of the trading obligation for shares in a no-deal Brexit , , Press Release PDF
87.46 KB
29/05/2019 ESMA71-99-1168 ESMA adjusts application of the trading obligation for shares in a no-deal Brexit , , Press Release PDF
87.46 KB
01/03/2012 2012/140 ESMA advises European Commission on Prospectus Directive’s overhaul- Advice covers possible delegated acts , , Press Release PDF
115.14 KB
04/02/2019 ESMA71-99-1107 ESMA agrees no-deal Brexit MOUs with the Bank of England for recognition of UK CCPs and the UK CSD , , Press Release PDF
131.3 KB

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