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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
10/04/2019 JC 2019 26 Joint ESA advice on the need for legislative improvements relating to ICT risk management requirements Innovation and Products, Joint Committee Technical Advice PDF
1.34 MB
10/04/2019 JC 2019 25 Joint ESA advice on the costs and benefits of developing a coherent cyber resilience testing framework for significant market participants and infrastructures Innovation and Products, Joint Committee Technical Advice PDF
785.49 KB
07/01/2019 JC 2018 74 Joint ESA report on Regulatory sandboxes and innovation hubs Innovation and Products, Joint Committee Report PDF
478.79 KB
28/02/2017 ESMA70-872942901-21 Final report on draft RTS on package orders for which there is a liquid market MiFID - Secondary Markets Report PDF
712.46 KB
18/11/2021 ESMA70-445-7 Preliminary Report on Emission Allowances MiFID - Secondary Markets, Sustainable finance Report PDF
1005.62 KB
03/06/2019 ESMA70-156-835 Supervisory Briefing PreTradeTransparency Non-Equity Instruments MiFID - Secondary Markets, Supervisory convergence Report PDF
148.65 KB
06/08/2021 ESMA70-156-4576 Report to EC on Use of FinTech by CSDs Innovation and Products, Post Trading Report PDF
537.04 KB
02/02/2021 ESMA70-156-2401 Annual Report 2020- Equity Waivers and Deferrals MiFID - Secondary Markets Report PDF
1.09 MB
01/04/2020 ESMA70-156-2287 Technical Advice to the European Commission on weekly position reports under MiFID II MiFID - Secondary Markets, Supervisory convergence Technical Advice PDF
231.84 KB
29/09/2017 ESMA70-156-227 Final report on draft RTS on the trading obligation for derivatives under MiFIR MiFID - Secondary Markets Report PDF
609.23 KB
05/12/2019 ESMA70-156-1606 MiFID II/MiFIR Review Report No. 1 MiFID - Secondary Markets Report PDF
1004.81 KB
07/02/2022 ESMA50-164-5411 Digital finance related issues – Survey to NCAs Innovation and Products Report PDF
291.04 KB
07/02/2022 ESMA50-164-5410 Report on Call for evidence on Digital Finance Innovation and Products Report PDF
281.83 KB
29/06/2020 ESMA50-164-3463 ESMA’s response to the European Commission’s Consultation on a New Digital Finance Strategy for Europe Innovation and Products Report PDF
380.54 KB
12/07/2019 ESMA50-164-2430 Report on the Licensing of FinTech business models Innovation and Products Report PDF
585.36 KB
01/06/2018 ESMA50-162-215 Product Intervention Analysis CFDs MiFID - Investor Protection, Risk Analysis & Economics - Markets Infrastructure Investors Report PDF
1.26 MB
01/06/2018 ESMA50-162-214 Product Intervention Analysis Binary Options MiFID - Investor Protection, Risk Analysis & Economics - Markets Infrastructure Investors Report PDF
776.15 KB
07/06/2017 ESMA50-158-457 ESMA response to the Commission Consultation Paper on Fintech: A more competitive and innovative financial sector Innovation and Products Report PDF
712.26 KB
  1. ESMA welcomes the opportunity to respond to the Commission Consultation paper on Fintech: a more competitive and innovative financial sector (hereafter “the Consultation”).
  2. Fintech and, technological innovation in general, have been the drivers of a number of developments in the financial sector in recent years. Indeed, new forms of services and businesses such as automated advice or crowdfunding have emerged. ESMA sees these developments as a positive evolution as long as they are aimed at improving consumer financial experience and facilitate financial inclusion. ESMA would also want to stress that it adheres to the core principles (technological neutrality, proportionality and market integrity) highlighted by the Commission and agrees that any EU policies aiming to ensure the financial sector takes advantage of cutting-edge technologies, while remaining sound and safe for investors, need to integrate these principles.
  3. In this response, ESMA wishes to share with the Commission some reflections on a number of topics mentioned in the Consultation which appear relevant to ESMA:
    • Artificial intelligence and big data analytics for automated advice and businesses;
    • Crowdfunding;
    • Reg Tech;
    • Outsourcing and cloud computing;
    • Distributed ledger technology;
    • Role of regulation and supervisors; and
    • Role of industry: standards and interoperability
09/01/2019 ESMA50-157-1391 Advice on Initial Coin Offerings and Crypto-Assets Innovation and Products Report PDF
882.48 KB
11/01/2017 ESMA42-1643088512-2962 ESMA42-1643088512-2962 Follow-up Report to the Peer Review on Best Execution MiFID - Investor Protection, MiFID - Secondary Markets, Supervisory convergence Report PDF
774.17 KB

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