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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
15/04/2021 ESMA80-193-1713 EMIR and SFTR data quality report 2020 Market data, Press Releases, Securities Financing Transactions, Supervisory convergence Final Report PDF
780.52 KB
06/04/2021 ESMA74-362-1853 Final report Draft Guidelines On periodic information to be submitted to ESMA by Trade Repositories Market data, Supervisory convergence, Trade Repositories Final Report PDF
221.11 KB
29/03/2021 ESMA70-151-2838 Guidelines on Reporting Under SFTR Securities Financing Transactions Final Report PDF
3.21 MB		 bgcsdadeelesetfifrhrhuitltlvmtnlplptroskslsv
15/07/2020 ESMA31-62-1426 ESMA Guidelines on disclosure requirements under the Prospectus Regulation Prospectus Final Report PDF
1.41 MB
01/04/2020 ESMA70-156-2311 MiFID II Review Report on position limits and position management MiFID - Secondary Markets, Supervisory convergence Final Report PDF
591.78 KB
30/03/2020 ESMA70-151-2919 Final Report EMIR RTS on Colleges for CCPs CCP Directorate, Post Trading, Supervisory convergence Final Report PDF
273.08 KB
06/01/2020 ESMA70-151-2703 Final Report- Guidelines on Reporting Under SFTR Securities Financing Transactions Final Report PDF
1.38 MB
12/12/2019 ESMA42-111-4916 STOR Peer Review Report Market Abuse, Supervisory convergence Final Report PDF
1.17 MB
29/03/2019 ESMA31-62-1207 Final Report on technical advice under prospectus exemption Prospectus Final Report PDF
862.94 KB
29/03/2019 ESMA31-62-1217 Final Report on ESMA Guidelines on Risk Factors under the Prospectus Regulation Prospectus Final Report PDF
415.91 KB
30/07/2018 ESMA42-111-4479 Peer review on the Guidelines on ETFs and other UCITS issues Supervisory convergence Final Report PDF
1.11 MB
03/04/2018 ESMA31-62-800 Technical advice under the Prospectus Regulation Prospectus Final Report PDF
4.7 MB
29/11/2017 ESMA42-111-4285 Peer review on certain aspects of the compliance function under Mi-FID I MiFID - Investor Protection, Supervisory convergence Final Report PDF
1.25 MB
30/06/2016 2016/1055 Peer Review Report on Prospectus Approval Process Prospectus, Supervisory convergence Final Report PDF
1.23 MB
07/04/2016 2016/585 Suitability Peer Review- Annex MiFID - Investor Protection, Supervisory convergence Final Report PDF
987.81 KB
07/04/2016 2016/584 Suitability Peer Review- Final Report MiFID - Investor Protection, Supervisory convergence Final Report PDF
459.35 KB
22/12/2015 2015/1905 MAD Supervisory Practices peer review follow-up Market Abuse, Supervisory convergence Final Report PDF
239.64 KB
23/07/2015 2015/1136 EEA prospectus activity in 2014 Prospectus, Corporate Disclosure Final Report PDF
578.07 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.

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