ESMA LIBRARY

The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
259
DOCUMENTS

REFINE YOUR SEARCH

Sections

Type of document

Your filters
Short Selling X Risk Analysis & Economics - Markets Infrastructure Investors X Joint Committee X Trading X ITMG X Securities Financing Transactions X MiFID - Investor Protection X Prospectus X Technical Standards X Vacancy X SMSG Advice X Technical Advice X Compliance table X Annual Report X Press Release X Final Report X
Reset all filters

Pages

Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
09/03/2016 ESAs/2016/22 Annexes to RTS on Risk Mitigation LegisWrite Joint Committee Final Report PDF
297.23 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.
10/06/2013 2013/619 Comparison of liability regimes in Member States in relation to the Prospectus Directive Prospectus, Corporate Disclosure 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
11/02/2020 ESMA35-43-1076 Compliance table for Guidelines on MiFID II product governance requirements (ESMA35-43-620) Guidelines and Technical standards, MiFID - Investor Protection Compliance table PDF
157.54 KB
18/02/2015 JC/GL/2014/43 Appendix 1 Compliance table for JC guidelines for complaints-handling for the securities (ESMA) and banking (EBA) sectors Guidelines and Technical standards, Joint Committee Compliance table PDF
187.15 KB

The table contains details of the competent authorities* who comply or intend to comply with the ESAs’ Joint Guidelines on complaints-handling for the securities (ESMA) and banking (EBA) sectors.
17/12/2021 ESMA35-43-1215 Compliance table for Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body Guidelines and Technical standards, Joint Committee, MiFID - Investor Protection Compliance table PDF
302.18 KB
04/12/2019 ESMA70-21038340-46 Compliance table for the Guidelines on market making activities under the Short Selling Regulation Guidelines and Technical standards, Market Integrity, Short Selling Compliance table PDF
267.48 KB
10/12/2021 JC/2015/087 Compliance Table GL financial conglomerates Guidelines and Technical standards, Joint Committee Compliance table PDF
300.38 KB
01/07/2021 ESMA31-62-1409 Compliance table GLs on Risk factors Prospectus Compliance table PDF
131.48 KB
08/07/2021 ESMA32-382-1157 Compliance table on disclosure requirements under the Prospectus Regulation Prospectus Compliance table PDF
124.29 KB
31/05/2022 ESMA35-43-2517 Compliance table on Guidelines on certain aspects of the MiFID II compliance function (ESMA35-36-1952) Guidelines and Technical standards, MiFID - Investor Protection Compliance table PDF
141.13 KB
29/10/2021 ESMA35-43-1430 Compliance table on Guidelines on MiFID II suitability requirements Guidelines and Technical standards, MiFID - Investor Protection Compliance table PDF
145.3 KB
24/04/2014 2013/923 Compliance table- compliance guidelines Guidelines and Technical standards, MiFID - Investor Protection Compliance table PDF
100.87 KB
01/02/2022 ESMA35-43-2183 Compliance table- Guidelines for the assessment of knowledge and competence (ESMA/2015/1886) Guidelines and Technical standards, MiFID - Investor Protection Compliance table PDF
161.56 KB
01/10/2021 ESMA35-43-1957 Compliance table- Guidelines on complex debt instruments and structured deposits (ESMA/2015/1787) Guidelines and Technical standards, MiFID - Investor Protection Compliance table PDF
163.99 KB
01/02/2022 ESMA35-43-1968 Compliance table- Guidelines on cross-selling practices (ESMA/2016/574) Guidelines and Technical standards, MiFID - Investor Protection Compliance table PDF
159.78 KB
24/04/2014 2013/922 Compliance table- suitability guidelines MiFID - Investor Protection, Guidelines and Technical standards Compliance table PDF
74.33 KB
11/06/2020 ESMA71-99-1342 Decision Short Selling Reporting Renewal Statement COVID-19, Market Integrity, Press Releases, Short Selling Press Release PDF
83.55 KB
20/12/2013 2013/1970 Draft Regulatory Technical Standards on specific situations that require the publication of a supplement to the prospectus Prospectus, Corporate Disclosure 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.
23/12/2014 JC/2014/092 Draft RTS on risk concentration and intra-group financial transactions under Financial Conglomerates Directive Joint Committee Technical Standards PDF
819.76 KB

Pages