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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
28/09/2015 2015-ESMA-1464 Annex I 2015-ESMA-1464 Annex I- draft RTS and ITS on MiFID II and MiFIR Technical Standards PDF
2.85 MB
15/06/2020 ESMA20-95-1264 2019 Annual Report , , , Annual Report PDF
3.03 MB
16/06/2021 ESMA20-95-1381 2020 Annual Report , , , Annual Report PDF
4 MB
15/06/2020 ESMA20-95-1132 2020 Annual Work Programme- revised , , , Annual Report PDF
548.42 KB
28/09/2015 2015-ESMA-1464 Annex II Annex II- CBA- draft RTS and ITS on MiFID II and MiFIR Final Report PDF
5.07 MB
14/06/2017 ESMA20-95-590 Annual Report 2016 , , Annual Report PDF
2.94 MB

Corrigendum - date on the letter of assurance from the Executive Director on p81 had inadvertently been dated 14 June 2017, when the letter was signed on 2 June 2017. The date has been amended accordingly

19/06/2018 ESMA20-95-916 Annual Report 2017 , , Annual Report PDF
10.77 MB
24/02/2021 ESMA70-156-3926 Annual Report 2020 Non-equity Waivers and Deferrals Annual Report PDF
2.44 MB
17/07/2018 ESMA70-154-651 Application form- SMSC CWG Renewal 2018 Vacancy DOCX
37.81 KB
25/02/2015 2015/494 Best Execution under MiFID , 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.
17/07/2018 ESMA70-154-652 Call for expressions of interest- SMSC CWG Renewal Vacancy PDF
263.08 KB
10/06/2013 2013/619 Comparison of liability regimes in Member States in relation to the Prospectus Directive , Final Report PDF
596.91 KB
The European Securities and Markets Authority (ESMA) has published a report on the Comparison of liability regimes in Member States in relation to the Prospectus Directive.   This is the first report of its kind and provides a comparison of liability regimes covering the EEA – comprising the 27 EU Member States along with Iceland and Norway and is aimed at providing clarity for market participants about the different regimes in place. The report contains an overview of the different arrangements and frameworks in place in  EEA States to address administrative, criminal, civil and governmental liability, and provides clarity to market participants about the different regimes in place. The report was compiled in response to a European Commission request of January 2011 for assistance in identifying and monitoring the different regimes in EEA states.   The report does not cover how the regimes, or sanctions, are applied.    Report Comparison of liability regimes in Member States in relation to the Prospectus Directive Annex II Comparative table of responses from EEA States Annex III Individual responses from EEA States
20/12/2013 2013/1970 Draft Regulatory Technical Standards on specific situations that require the publication of a supplement to the prospectus , Technical Standards PDF
713.74 KB
The Final Report contains the draft Regulatory Technical Standard (RTS) on situations which require the publication of a supplement to the prospectus which ESMA is required to submit to the European Commission by 1 January 2014 in accordance with Article 16(3) of the Prospectus Directive. The Report furthermore includes a summary of the main responses received to ESMA’s Consultation Paper which was published in March 2013. The draft RTS sets out nine situations which are always considered to be significant in the context of securities issuance and where a supplement to the prospectus will always be required. Other situations would require a case-by-case assessment.
26/05/2016 2016/725 Draft RTS on indirect clearing arrangements under EMIR and MiFIR , , Final Report PDF
740.71 KB
28/09/2020 ESMA35-43-2424 Draft technical standards on the provision of investment services and activities in the Union by third-country firms under MiFID II and MiFIR Final Report PDF
1.23 MB
23/07/2015 2015/1136 EEA prospectus activity in 2014 , Final Report PDF
578.07 KB
10/01/2019 ESMA50-165-731 ESMA annual statistical report on performance and costs of retail investment products in the EU , Annual Report PDF
3.43 MB
23/10/2014 2014/1276 ESMA Data on Prospectuses Approved and Passported – January 2013 to December 2013 , Final Report PDF
285.12 KB
The report compiles statistical data regarding the number of prospectuses approved and passported by National Competent Authorities in the period from January 2013 to December 2013 (with a quarterly disclosure).
23/10/2014 2014/1277 ESMA Data on Prospectuses Approved and Passported – January 2014 to June 2014 , Final Report PDF
211.96 KB
The report compiles statistical data regarding the number of prospectuses approved and passported by National Competent Authorities in the period from January 2014 to June 2014 (with a quarterly disclosure).
25/09/2012 2012/602 ESMA Data on Prospectuses Approved and Passported- January 2011 to December 2011 , Final Report PDF
573.49 KB

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