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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
15/05/2009 09-220 Feedback statement- MAD Level 3 – Third set of CESR guidance and information on the common operation of the Directive to the market CESR Document PDF
238.16 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.
13/07/2016 2016/1130 Final Report on the Market Abuse Regulation Guidelines , Report PDF
852.59 KB
04/10/2016 2016/1415 ESMA reporton on securities financing transactions and leverage in the EU , Report PDF
1.94 MB
21/12/2016 2016/1668 2016-1668 ESMA feedback statement on ESEF , , Report PDF
6.98 MB
22/12/2016 2016/1683 Peer Review on CCPs' Margin and Collateral requirements Report PDF
543.98 KB
01/02/2016 2016/174 Final Report on CSDR RTS on settlement discipline Report PDF
1.59 MB
01/02/2016 2016/174/Annex IV Impact assessment on CSDR RTS on settlement discipline Report PDF
1.39 MB
06/06/2016 2016/743 Multi-venue trading increases liquidity in EU equity markets despite duplicate orders , Report PDF
247 KB
09/04/2019 2019 19 Joint Committee Annual Report 2018 Annual Report PDF
198.17 KB
04/05/2020 ESAs 2020 09 EMIR RTS on various amendments to the bilateral margin requirements in view of the international framework , , Report PDF
338.72 KB
18/01/2017 ESAS-2017-82 Report on the functionning of the CRR with the related obligations under EMIR Report PDF
602.75 KB
29/09/2020 ESMA WP-2020-3 ESMA working paper on DVC mechanism and impact on EU equity markets , Report PDF
535.76 KB
17/10/2019 ESMA42-111-4895 EMIR data quality peer review , Report PDF
862.01 KB
09/01/2019 ESMA50-157-1391 Advice on Initial Coin Offerings and Crypto-Assets Report PDF
882.48 KB
07/06/2017 ESMA50-158-457 ESMA response to the Commission Consultation Paper on Fintech: A more competitive and innovative financial sector Report PDF
712.26 KB
  1. ESMA welcomes the opportunity to respond to the Commission Consultation paper on Fintech: a more competitive and innovative financial sector (hereafter “the Consultation”).
  2. Fintech and, technological innovation in general, have been the drivers of a number of developments in the financial sector in recent years. Indeed, new forms of services and businesses such as automated advice or crowdfunding have emerged. ESMA sees these developments as a positive evolution as long as they are aimed at improving consumer financial experience and facilitate financial inclusion. ESMA would also want to stress that it adheres to the core principles (technological neutrality, proportionality and market integrity) highlighted by the Commission and agrees that any EU policies aiming to ensure the financial sector takes advantage of cutting-edge technologies, while remaining sound and safe for investors, need to integrate these principles.
  3. In this response, ESMA wishes to share with the Commission some reflections on a number of topics mentioned in the Consultation which appear relevant to ESMA:
    • Artificial intelligence and big data analytics for automated advice and businesses;
    • Crowdfunding;
    • Reg Tech;
    • Outsourcing and cloud computing;
    • Distributed ledger technology;
    • Role of regulation and supervisors; and
    • Role of industry: standards and interoperability
12/07/2019 ESMA50-164-2430 Report on the Licensing of FinTech business models Report PDF
585.36 KB
29/06/2020 ESMA50-164-3463 ESMA’s response to the European Commission’s Consultation on a New Digital Finance Strategy for Europe Report PDF
380.54 KB
16/11/2020 ESMA50-165-1362 ASR on EU derivatives markets- 2020 , Report PDF
1.88 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