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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
09/08/2011 JC IFC List of identified financial conglomerates Joint Committee Reference PDF
172.11 KB
23/03/2012 JC 2011/82 Joint Committee of the ESAs- Work programme 2012 Joint Committee Reference PDF
89.31 KB
23/03/2012 JC 2011/17 Medium term strategy for the Joint Committee Joint Committee Reference PDF
152.87 KB
17/04/2012 JC/2011/17 Medium term strategy for the Joint Committee Joint Committee Reference PDF
152.75 KB
17/04/2012 JC/2011/82 Joint Committee of the ESAs- Work programme 2012 Overview of deliverables Joint Committee Reference PDF
89.31 KB
20/06/2012 2012/378 Operation of notifications of MiFID Article 41 suspensions and removals of financial instruments from trading MiFID - Secondary Markets Reference PDF
353.3 KB		 This protocol has been created to ensure effective co-operation between Competent Authorities (CAs) with respect to their obligations under Article 41 of MiFID (Suspension and removal of in-struments from trading).The purpose of the notification obligations under Article 41 is to afford investors across all Mem-ber States the same level of protection regardless of where they trade. In order to achieve this outcome, a shared understanding of the different circumstances under which trading may be suspended in different Member States according to their national law and the expected course of action under Article 41 is helpful. To ensure trading is suspended or an instrument is removed from trading in an effective and timely way, an effective communication process is necessary.The protocol will be kept under review in light of practical experience.
20/07/2012 JC/2012/12 List of identified financial conglomerates Joint Committee Reference PDF
106.78 KB
25/07/2012 2012/478 ESMA MiFID database- description of webservice MiFID - Secondary Markets Reference PDF
123.71 KB		 This document provides useful information for developers wanting to use the webservice provided in ESMA's MIFID databases.
02/08/2012 JC/P/2012/01 ESAs supervisory protocol on anti-money laundering of payment institutions Joint Committee Reference PDF
606.88 KB
24/10/2012 JC/2012/88 EBA, EIOPA and ESMA’s Response to the European Commission’s Call for Advice on the Fundamental Review of the Financial Conglomerates Directive Joint Committee Reference PDF
590.58 KB
11/01/2013 EBA/REC/2013/01 EBA Recommendations on supervisory oversight of activities related to banks’ participation in the Euribor panel Risk Analysis & Economics - Markets Infrastructure Investors Reference PDF
207.84 KB
16/01/2013 JC/2013/02 Joint Committee of the ESAs’ 2013 Work Programme Joint Committee Reference PDF
78.96 KB		 In 2013, the Joint Committee will give high priority to the areas of consumer protection and risk analysis. The Joint Committee will also pursue the regulatory work initiated in 2012 in key areas such as Financial Conglomerates, AntiMoney Laundering and Credit Ratings, and will give more visibility to its work to externalstakeholders.
04/02/2013 2013/14 Call for expressions of interest: Consultative Working Group for ESMA’s Investment Management Standing Committee Fund Management Reference PDF
129.5 KB		 To apply, please use the below Application form
02/04/2013 2013/413 Final Report- Draft regulatory technical standards on types of AIFMs Fund Management Technical Standards PDF
116.08 KB		 The European Securities and Markets Authority (ESMA) has published its draft regulatory technical standards (RTS) to determine types of alternative investment fund managers (AIFMs), where relevant in the application of the AIFMD.  The draft RTS distinguish AIFMs managing alternative investment funds (AIF) of the open-ended type and AIFMs managing AIFs of the closed-ended type, in order to apply the rules on liquidity management, the valuation procedures and the transitional provisions of the AIFMD.  ESMA was required to develop these RTS by Article 4(4) of the AIFMD and they are aimed at ensuring uniform conditions of application of the AIFMD across the European Union.
05/07/2013 2013/ITMG/14 Terms of Reference IT Management and Governance Group ITMG Reference PDF
46.39 KB
19/07/2013 MOU ACER ESMA MoU between ESMA and ACER concerning the consultation and cooperation regarding their regulatory responsibilities in relation to EU wholesale energy market MiFID - Secondary Markets Reference PDF
207.61 KB
29/07/2013 JC 2013/01 Final Draft Regulatory Technical Standards Joint Committee Technical Standards PDF
1.17 MB
13/08/2013 2013/611 SV Key concepts of the AIFMD Fund Management Reference PDF
84.4 KB		 Riktlinjer Riktlinjer om nyckelbegrepp i direktivet om förvaltare av alternativa investeringsfonder
20/08/2013 2013/1119 Opinion on draft regulatory technical standards on types of AIFMs under Article 4(4) of Directive 2011/61/EU Fund Management Reference PDF
247.02 KB		 The European Securities and Markets Authority (ESMA) submitted its formal opinion to the European Commission on 13 August, in response to the letter received on 8 July, on draft regulatory technical standards under Article 4(4) of Directive 2011/61/EU. The opinion was issued in accordance with Article 10(1) sixth subparagraph of Regulation (EU) No 1095/2010.
02/10/2013 JC/2013/051 Joint Committee of the ESAs’ 2014 Work Programme Joint Committee Reference PDF
90.99 KB		 The Joint Committee of the European Supervisory Authorities (EBA, ESMA, EIOPA) publishes today its Work Programme for next year. Throughout 2014, the Joint Committee will give high priority to the areas of Consumer Protection and Cross-Sectoral Risk Analysis, as in the current year. The Joint Committee will also bring forward its regulatory work already underway in key areas such as Financial Conglomerates, Anti-Money Laundering, Benchmark setting processes and Credit Rating Agencies. Furthermore, the Joint Committee will keep on monitoring closely legislative and regulatory developments both at the European and international level, so as to ensure appropriate and timely follow-up, including in relation to Systemically Important Financial Institutions (SIFIs).

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