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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
25/04/2017 ESMA22-106-196 Advice in response to JC Discussion Paper on the Use of Big Data by Financial Institutions SMSG Advice PDF
144.22 KB
20/12/2013 2013/SMSG/017 Advice on Consultation Paper – Draft Regulatory Technical Standards on contracts having a direct, substantial and foreseeable effect within the Un-ion and non-evasion of provisions of EMIR SMSG Advice PDF
27.43 KB
20/12/2013 2013/SMSG/018 Advice on Discussion Paper – The Clearing Obligation under EMIR SMSG Advice PDF
46.94 KB
28/10/2011 2011/SMSG/13 Advice on ESMA's draft technical advice to the European Commission on possible implementing measures of the Alternative Investment Fund Man-agers Directive in relation to supervision and third countries SMSG Advice PDF
88.23 KB
01/12/2011 2011/SMSG/18 Advice on ESMA's public consultation on UCITS Exchange traded funds in the European Union SMSG Advice PDF
149.17 KB
28/02/2012 2012/SMSG/12 Advice on Guidelines on certain aspects of the MiFID compliance function requirements SMSG Advice PDF
83.35 KB
28/02/2012 2012/SMSG/11 Advice on Guidelines on certain aspects of the MiFID suitability requirements SMSG Advice PDF
138.1 KB
18/09/2015 2015/SMSG/026 Advice on Proxy advisors SMSG Advice PDF
206.54 KB
11/11/2015 ESMA/2015/SMSG/031 Advice on sound remuneration under UCITS and AIFMD SMSG Advice PDF
123.3 KB
24/02/2021 ESMA70-156-3926 Annual Report 2020 Non-equity Waivers and Deferrals Annual Report PDF
2.44 MB
15/11/2018 ESMA70-145-1081 Annual report on administrative and criminal sanctions and other administrative measures under MAR , Annual Report PDF
158.47 KB
16/02/2015 2015/280 ESMA supervision of Credit Rating Agencies and Trade Repositories , , Annual Report PDF
891.95 KB
This document reports on the direct supervisory activities carried out by ESMA during 2014 regarding credit rating agencies (CRAs) and trade repositories (TRs) within the European Union (EU). It sets out ESMAs key areas of action during 2014 and outlines ESMA’s main priorities for 2015.
09/03/2020 ESMA80-199-332 ESMA Supervision- Annual Report 2019 and Work Programme 2020 , , , , Annual Report PDF
825.72 KB
09/04/2019 2019 19 Joint Committee Annual Report 2018 Annual Report PDF
198.17 KB
07/04/2021 JC 2021 08 Joint Committee Annual Report 2020 Annual Report PDF
1.01 MB
20/12/2019 SMSG ESMA20-06-2053 Joint position paper from the ESA stakeholder groups on the ESA review SMSG Advice PDF
283.55 KB
02/02/2012 2012/SMSG/6 Letter regarding deadlines for the submission of ESMA’s technical standards SMSG Advice PDF
82.35 KB
A letter from the ESMA Securities and Markets Stakeholder Group to Michel Barnier, Commissioner for Internal Market and Services, Sharon Bowles, Chair of ECON, and Klaus-Heiner Lehne, Chair of JURI, regarding deadlines for the submission of ESMA's technical standards.
09/10/2020 ESMA70-156-3300 MiFID II/MiFIR Annual Report under Commission Delegated Regulation (EU) 2017/583 (RTS 2) Annual Report PDF
477.23 KB
09/10/2019 ESMA70-156-1010 On the application of waivers and deferrals Annual Report PDF
7.3 MB
28/10/2011 2011/SMSG/12 Position paper- ESMA's Consultation on systems and controls in a highly automated trading environment for trading platforms, investment firms and competent authorities SMSG Advice PDF
59.19 KB

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