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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
26/04/2012 2012/270 Actual use of sanctioning powers under MAD Final Report PDF
1.55 MB
The report provides a comparison of the use of administrative sanctioning powers across 29 EEA Member States for 2008-2010.  The results of the report will provide input to the legislative process on the new market abuse regime.
09/03/2016 ESAs/2016/22 Annexes to RTS on Risk Mitigation LegisWrite Final Report PDF
297.23 KB
18/03/2015 2015/592 Automated Trading Guidelines- ESMA peer review among National Competent Authorities Final Report PDF
930.33 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.
23/12/2014 JC/2014/092 Draft RTS on risk concentration and intra-group financial transactions under Financial Conglomerates Directive Technical Standards PDF
819.76 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
30/03/2012 2012/228 Draft technical standards on the Regulation (EU) No 236/2012 of the European Parliament and of the Council on short selling and certain aspects of credit default swaps Technical Standards PDF
1.02 MB
Regulation (EU) No 236/2012 of the European Parliament and of the Council of 14 March on short selling and certain aspects of credit default swaps (the Regulation)  requires ESMA to develop draft regulatory (RTS) and implementing technical standards (ITS) in relation to several provisions contained in Articles 9, 11, 12 and 16 of the Regulation. The draft RTS and ITS will be submitted to the European Commission by 31 March 2012. The Commission has three months to decide whether to endorse ESMAs draft technical standards. A further regulatory technical standard, on the method of calculation of the fall in value of a financial instrument required under Article 24(8) of the Regulation will be submitted together with the technical advice in the course of April 2012.
10/11/2021 ESMA35-42-1183 Draft technical standards under the European crowdfunding service providers for business Regulation , Final Report PDF
1.43 MB
11/04/2012 JC/2011/97 EBA, ESMA and EIOPA’s Report on the legal and regulatory provisions and supervisory expectations across EU Member States of Simplified Due Diligence requirements where the customers are credit and financial institutions under the Third Money Laundering Di Final Report PDF
476.47 KB
11/04/2012 JC/2011/96 EBA, ESMA and EIOPA’s Report on the legal, regulatory and supervisory implementation across EU Member States in relation to the Beneficial Owners Customer Due Diligence requirements under the Third Money Laundering Directive [2005/60/EC] Final Report PDF
552.11 KB
15/04/2021 ESMA80-193-1713 EMIR and SFTR data quality report 2020 , , , Final Report PDF
791.94 KB
07/12/2012 JC/2012/86 ESA report on the application of AML/CTF obligations to, and the AML/CTF supervision of e-money issuers, agents and distributors in Europe. Final Report PDF
476.42 KB
25/08/2021 Joint Committee ESAs 2020 Final Report on EMIR RTS on various amendments to the bilateral margin requirements in view of the international framework Final Report PDF
338.72 KB
20/03/2018 ESMA50-165-538 ESMA report on trends, risks and vulnerabilities 1, 2018 Final Report PDF
3.24 MB
06/09/2018 ESMA 50-165-632 ESMA report on trends, risks and vulnerabilities 2, 2018 Final Report PDF
3.7 MB
28/02/2019 ESMA50-165-737 ESMA report on trends, risks and vulnerabilities no. 1 2019 Final Report PDF
2.24 MB
19/02/2020 ESMA50-165-1040 ESMA report on trends, risks and vulnerabilities no.1 2020 Final Report PDF
1.42 MB
10/09/2019 ESMA50-165-8 ESMA report on trends, risks and vulnerabilities no.2 2019 Final Report PDF
2.31 MB
02/09/2020 ESMA50-165-1287 ESMA report on trends, risks and vulnerabilities no.2 2020 Final Report PDF
2.6 MB
11/03/2015 2015/527 ESMA Risk Dashboard No 1 2015 Final Report PDF
798.36 KB

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