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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.

16/12/2016 2016/1669 2016-1669 Q&A on AIFMD Q&A PDF
436.68 KB
21/12/2016 2016/1682 2016-1682 Press Release on Feedback Statement on ESEF , , , Press Release PDF
225.03 KB
13/07/2020 ESMA71-99-1352 3rd EU-wide CCP stress test results PR , , Press Release PDF
151.99 KB
28/01/2016 2016/167 Anneli Tuominen appointed Vice Chair of ESMA , Press Release PDF
139.35 KB
24/05/2018 ESMA71-99-981 Anneli Tuominen VC reappointment , Press Release PDF
208.13 KB
17/04/2020 ESMA71-99-1313 Benchmarks MoU- 30 Mar (MAS ESMA) , , Press Release PDF
112.32 KB
04/01/2021 ESMA71-99-1498 Brexit: ESMA withdraws the registrations of six UK-based credit rating agencies and four trade repositories , , , Press Release PDF
94.63 KB
07/01/2021 ESMA71-99-1505 CFTC and ESMA Sign Enhanced MOU Related to Certain Recognized Central Counterparties , Press Release PDF
75.21 KB
27/10/2015 2015/1606 Common enforcement priorities for 2015 financial statements , Press Release PDF
138.19 KB
11/02/2020 ESMA35-43-1076 Compliance table for Guidelines on MiFID II product governance requirements (ESMA35-43-620) , Compliance table PDF
157.54 KB
11/03/2020 ESMA70-156-1434 Compliance table for Guidelines on non-significant benchmarks (ESMA70-145-1209) , Compliance table PDF
129.58 KB
18/02/2015 JC/GL/2014/43 Appendix 1 Compliance table for JC guidelines for complaints-handling for the securities (ESMA) and banking (EBA) sectors , Compliance table PDF
187.15 KB

The table contains details of the competent authorities* who comply or intend to comply with the ESAs’ Joint Guidelines on complaints-handling for the securities (ESMA) and banking (EBA) sectors.

17/12/2021 ESMA35-43-1215 Compliance table for Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body , , Compliance table PDF
302.18 KB
04/12/2019 ESMA70-21038340-46 Compliance table for the Guidelines on market making activities under the Short Selling Regulation , , Compliance table PDF
267.48 KB
04/10/2017 ESMA34-43-352 Compliance table for the Guidelines on sound remuneration policies under the UCITS Directive , Compliance table PDF
154.54 KB
04/10/2017 ESMA34-32-316 Compliance table for the Guidelines sound remuneration policies under the AIFMD (ESMA/2016/579) , Compliance table PDF
144.26 KB
10/12/2021 JC/2015/087 Compliance Table GL financial conglomerates , Compliance table PDF
300.38 KB
01/07/2021 ESMA31-62-1409 Compliance table GLs on Risk factors Compliance table PDF
131.48 KB
08/07/2021 ESMA32-382-1157 Compliance table on disclosure requirements under the Prospectus Regulation Compliance table PDF
124.29 KB

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