ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
04/12/2019 ESMA71-99-1254 Acting Chair CCP Supervisory Committee Board of Supervisors, Corporate Information, Post Trading, Press Releases Statement PDF
82.87 KB
09/04/2020 ESMA34-45-896 Actions to mitigate the impact of COVID-19 on the deadlines for the publication of periodic reports by fund managers COVID-19, Fund Management Statement PDF
113.03 KB
09/04/2020 ESMA80-187-546 Actions to mitigate the impact of COVID-19 on the EU financial markets regarding the timeliness of fulfilling external audit requirements for interest rate benchmarks under the Benchmarks Regulation Benchmarks, COVID-19 Statement PDF
89.31 KB
26/04/2012 2012/270 Actual use of sanctioning powers under MAD Supervisory convergence Final Report PDF
1.55 MB		 The report provides a comparison of the use of administrative sanctioning powers across 29 EEA Member States for 2008-2010.  The results of the report will provide input to the legislative process on the new market abuse regime.
12/09/2013 2013/08/ODRG Agreed Understandings to Resolving Cross-border Conflicts, Inconsistencies, Gaps and Duplicative Requirements Post Trading Final Report PDF
442.48 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
23/09/2014 2014/1164 Annex Annex to the Statement by Steven Maijoor, Chair of ESMA to the ECON hearing, 23 September 2014 Corporate Information Final Report PDF
503.01 KB
30/09/2013 ESMA/2013/1350 Annex to the Statement by Steven Maijoor, Chair of ESMA, to the ECON hearing, 30 September 2013 Corporate Information Statement PDF
338.74 KB

Statement by Steven Maijoor, Chair European Securities and Markets Authority, ECON Committee, European Parliament 30 September 2013 ESMA/2013/1363
08/10/2018 ESMA22-105-587 Annex to the Statement for ECON Hearing on 8 October 2018 Corporate Information Statement PDF
841.11 KB
21/12/2017 ESMA70-151-812 Annual peer review of EU CCP supervision on supervisory activities on CCPs’ Default Management Procedures Post Trading Final Report PDF
471.59 KB
31/03/2021 ESMA35-43-2632 Application of the temporary suspension of the obligation to publish RTS 27 reports MiFID - Investor Protection Statement PDF
78.5 KB
18/03/2015 2015/592 Automated Trading Guidelines- ESMA peer review among National Competent Authorities Supervisory convergence Final Report PDF
930.33 KB
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.
01/10/2020 ESMA80-187-610 BMR Brexit Public Statement 2020 Q4 Benchmarks, Brexit Statement PDF
110.8 KB
24/03/2021 ESMA80 -187-881 BMR Brexit Statement updated Benchmarks, Brexit Statement PDF
82.91 KB
19/12/2018 ESMA35-43-1328 Brexit Statement- information to clients Brexit, MiFID - Investor Protection Statement PDF
212.95 KB
28/03/2019 ESMA90-1-83 Brexit Update March 2019 Brexit, Credit Rating Agencies, MiFID - Secondary Markets, MiFID II: Transparency Calculations and DVC, Post Trading, Trade Repositories Statement PDF
121.13 KB
31/03/2020 ESMA35-36-1919 Clarification of issues related to the publication of reports by execution venues and firms as required under RTS 27 and 28 COVID-19, MiFID - Investor Protection Statement PDF
89.84 KB
03/07/2018 ESMA70-151-1462 Communication on clearing obligation for pension scheme arrangements Post Trading Statement PDF
122.82 KB
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

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