ESMA LIBRARY

The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
254
DOCUMENTS

REFINE YOUR SEARCH

Sections

Type of document

Your filters
MiFID - Investor Protection X Audit X Corporate Finance X Warnings and publications for investors X Corporate Governance X MiFID - Secondary Markets X Securitisation X Supervisory convergence X Brexit X Technical Advice X Opinion X Press Release X
Reset all filters

Pages

Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
12/07/2021 Position Limits Position Limits Opinion XLSX
58.58 KB
17/05/2021 JC 2021 31 PR Press Release_ESAs’ report on the implementation and functioning of the securitisation regulation , Press Release PDF
125.8 KB
26/03/2021 JC 2021 16 ESAs’ Opinion to the European Commission on the Jurisdictional Scope of Application of the SECR , Opinion PDF
339.91 KB
30/05/2018 ESMA71-99-987 PR on EBA-ESMA statement on retail holders of bail-inable instruments , , Press Release PDF
281.95 KB
01/06/2018 ESMA71-99-973 ESMA71-99-973 Press Release Product Intervention EUOJ publication , , Press Release PDF
241.5 KB
02/05/2018 ESMA71-99-971 Press release on MiFID II bond transparency calculations Press Release PDF
150.66 KB
07/03/2018 ESMA71-99-953 Press release: ESMA publishes double volume cap data , Press Release PDF
137.68 KB
12/02/2018 ESMA71-99-946 Press release- ESAs warn consumers of risks in buying virtual currencies Press Release PDF
128.93 KB
07/02/2018 ESMA71-99-944 ESMA publishes 2018 Supervisory Convergence Work Programme , Press Release PDF
243.98 KB
18/01/2018 ESMA71-99-930 Product Intervention Call for Evidence PR , Press Release PDF
138.63 KB
09/01/2018 ESMA71-99-925 ESMA Double Volume Cap delay , Press Release PDF
216.16 KB
19/12/2017 ESMA71-99-916 ESMA consults on securitisation requirements , Press Release PDF
150.34 KB
29/11/2017 ESMA71-99-661 Peer Review on MiFID Compliance Function Press Release , , Press Release PDF
149.89 KB
13/11/2017 ESMA71-99-649 Press Release ICO Statements , , Press Release PDF
169.52 KB
27/10/2017 ESMA71-99-623 Press Release on 2017 Enforcement Priorities , , , Press Release PDF
172.2 KB
09/10/2017 ESMA71-99-613 ESMA highlights importance of LEI for MiFIDII/MiFIR compliance , Press Release PDF
145.53 KB

The European Securities and Markets Authority (ESMA) has published a Briefing on the Legal Entity Identifier (LEI) as part of its efforts to raise industry awareness and facilitate compliance with the LEI requirements under MiFID II ahead of its 3 January 2018 launch.

ESMA expects market participants to take all necessary steps to ensure full compliance with the LEI requirements under MiFID II. Based on its previous experience with EMIR reporting, ESMA urges reporting entities not to delay in addressing this important matter, as advance preparation will help in avoiding backlogs and ensuring that all market participants are ready for the new regime.

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.

13/07/2017 ESMA71-99-526 ESMA issues sector-specific principles on relocations from the UK to the EU27 , , Press Release PDF
157.73 KB

The European Securities and Markets Authority (ESMA) has published three Opinions setting out sector-specific principles in the areas of investment firms, investment management and secondary markets, aimed at fostering consistency in authorisation, supervision and enforcement related to the relocation of entities, activities and functions from the United Kingdom .

The opinions, building on the general opinion issued in May, are practical tools to support supervisory convergence in the context of requests from UK financial market participants seeking to relocate to the EU27. They are addressed to national competent authorities (NCAs) and are relevant for market participants considering relocating.

They provide guidance to NCAs aimed at ensuring a consistent interpretation of the requirements relating to authorisation, supervision and enforcement in order to avoid the development of regulatory and supervisory arbitrage risks.

18/07/2017 ESMA71-99-521 ESMA recommends improvements in financial information enforcement , , Press Release PDF
148.06 KB
31/05/2017 ESMA71-99-469 ESMA issues principles on supervisory approach to relocations from the UK , , Press Release PDF
143.31 KB

The European Securities and Markets Authority (ESMA) has published an Opinion setting out general principles aimed at fostering consistency in authorisation, supervision and enforcement related to the relocation of entities, activities and functions from the United Kingdom. The opinion is addressed to national competent authorities (NCAs), in particular of the 27 Member States that will remain in the EU (EU27).

The opinion is a practical tool to support supervisory convergence in the context of increased requests from UK financial market participants seeking to relocate to the EU27. It covers all legislation referred to in the ESMA Regulation, in particular the AIFMD, the UCITS Directive, MiFID I and MiFID II.

Pages