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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|19/12/2018||ESMA35-43-1328||Brexit Statement- information to clients||Brexit, MiFID - Investor Protection||Statement||PDF
|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
|26/03/2020||ESMA80-191-995||COVID-19 Public Statement||COVID-19, Securities Financing Transactions||Statement||PDF
|30/09/2016||2016/1408||ESMA appoints new chairs to Standing Committees||Board of Supervisors, Fund Management, Market Integrity, MiFID - Investor Protection||Statement||PDF
The Board of Supervisors of the European Securities and Markets Authority (ESMA) has appointed the following individuals to serve as chairs of its standing committees:
The standing committees are expert groups drawn from ESMA staff and the national competent authorities for securities markets regulation in the Member States, and are responsible for the development of policy in their respective areas. The appointments are for a period of two years and commence with immediate effect.
|07/11/2018||ESMA71-99-1058||ESMA new SC chairs||Fund Management, MiFID - Investor Protection, Risk Analysis & Economics - Markets Infrastructure Investors||Statement||PDF
|06/05/2020||ESMA71-99-1321||ESMA registers SFTR TRs||Press Releases, Securities Financing Transactions, Trade Repositories||Statement||PDF
|26/04/2016||2016/648||ESMA response to the Commission Green Paper on retail financial services||MiFID - Investor Protection||Letter||PDF
|20/03/2020||ESMA35-43-2348||ESMA Statement on COVID-19 telephone recording||COVID-19, MiFID - Investor Protection||Statement||PDF
|01/10/2018||ESMA35-36-1442||IPISC UK withdrawal from the EU Letter||MiFID - Investor Protection||Letter||PDF
|05/09/2018||ESMA70-151-1651 Annex 1||Letter from European Commission on SFTR draft RTS||Securities Financing Transactions||Letter||PDF
|17/11/2015||2015/1513||Letter SM to EC- implementation timeline MiFID MiFIR||MiFID - Investor Protection||Letter||PDF
|28/01/2014||2013/1941||Letter to Jonathan Faull (EC) regarding draft technical standards||MiFID - Investor Protection, MiFID - Secondary Markets||Letter||PDF
|01/10/2018||ESMA70-156-236||Letter to the Commission on MiFID II third country regime||MiFID - Investor Protection||Letter||PDF
|05/09/2018||ESMA70-151-1719||Letter to VP Dombrovskis on opinion on SFTR||Securities Financing Transactions||Letter||PDF
|02/06/2016||2016/902||MiFID practices for firms selling financial instruments subject to the BRRD resolution regime||MiFID - Investor Protection||Statement||PDF
|28/06/2017||ESMA35-36-885||Product Intervention- General Statement||Innovation and Products, MiFID - Investor Protection||Statement||PDF
This statement provides an update on the European Securities and Markets Authority’s (ESMA) work in relation to the sale of contracts for differences (CFDs), binary options and other speculative products to retail investors.
ESMA has been concerned about the provision of speculative products such as CFDs, rolling spot forex and binary options to retail investors for a considerable period of time and has conducted ongoing monitoring and supervisory convergence work in this area. In this context, ESMA has previously published a number of Q&As on CFDs and other speculative products to foster supervisory convergence, having established a CFD Task Force in July 2015, and also issued a further investor warning on the sale of CFDs, binary options and other speculative products in July 2016.
However, ESMA remains concerned that these supervisory convergence tools may not be sufficiently effective to ensure that the risks to consumer protection are sufficiently controlled or reduced. ESMA is therefore discussing the possible use of its product intervention powers under Article 40 of MiFIR to address investor protection risks in relation to CFDs, rolling spot forex and binary options.
ESMA is in the process of discussing the possible use of its product intervention powers under Article 40 of MiFIR, the possible content of any such measures, and how they could be applied. However, ESMA can confirm that the measures being discussed for (i) CFDs and rolling spot forex and (ii) binary options include proposals that take into account a number of measures that have been adopted or publicly consulted on by EU National Competent Authorities. These measures include leverage limits, guaranteed limits on client losses, and / or restrictions on the marketing and distribution of these products.
In accordance with Article 40 of MiFIR, any intervention measures must be approved by the ESMA Board of Supervisors and can only come into effect from 3 January 2018 at the earliest.
 ESMA/2016/1166 Warning about CFDs, binary options and other speculative products published 25 July 2016
|06/05/2020||ESMA35-43-2391||Reminder of firms’ MiFID II conduct of business obligations in the context of increasing retail investor activity||COVID-19, MiFID - Investor Protection||Statement||PDF
|27/07/2012||2012/476||Reply of ESMA to the European Commission’s Green Paper on Shadow Banking||MiFID - Investor Protection||Letter||PDF
|09/11/2020||ESMA74-362-881||Statement Brexit EMIR and SFTR data||Brexit, Post Trading, Securities Financing Transactions||Statement||PDF
|20/06/2016||2016/940||Statement by Steven Maijoor at ECON MiFID II/MiFIR Scrutiny Session, 21 June 2016||Speeches, MiFID - Secondary Markets||Statement||PDF