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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
30/07/2018 ESMA42-111-4479 Peer review on the Guidelines on ETFs and other UCITS issues Final Report PDF
1.11 MB
20/07/2018 ESMA42-111-4661 ESMA Peer Review Methodology Reference PDF
366.49 KB

This document replaces the previous version of the Review Panel Methodology

12/07/2018 ESMA42-110-998 Timely submission of requests for authorisation in the context of the United Kingdom withdrawing from the European Union Statement PDF
128.92 KB
18/05/2018 ESMA42-113-769 SCSC Terms of Reference Reference PDF
153.42 KB
13/04/2018 ESMA40-133-624 ESMA's response to WP29 Consultation on Guidelines on Derogations , Letter PDF
428.49 KB
07/02/2018 ESMA71-99-944 ESMA publishes 2018 Supervisory Convergence Work Programme , Press Release PDF
243.98 KB
07/02/2018 ESMA42-114-540 Supervisory Convergence Work Programme 2018 Report PDF
611.01 KB
29/11/2017 ESMA71-99-661 Peer Review on MiFID Compliance Function Press Release , , Press Release PDF
149.89 KB
29/11/2017 ESMA42-111-4285 Peer review on certain aspects of the compliance function under Mi-FID I , Final Report PDF
1.25 MB
21/07/2017 ESMA43-318-752 Statement to European Parliament Petitions Committee Statement PDF
359.62 KB
18/07/2017 ESMA71-99-521 ESMA recommends improvements in financial information enforcement , , Press Release PDF
148.06 KB
18/07/2017 ESMA42-111-4138 Peer Review on Guidelines on Enforcement of Financial Information , Report PDF
1.86 MB
13/07/2017 ESMA70-154-270 Opinion to support supervisory convergence in the area of secondary markets in the context of the United Kingdom withdrawing from the European Union , Opinion PDF
181.69 KB
13/07/2017 ESMA71-99-526 ESMA issues sector-specific principles on relocations from the UK to the EU27 , Press Release PDF
157.73 KB

The European Securities and Markets Authority (ESMA) has published three Opinions setting out sector-specific principles in the areas of investment firms, investment management and secondary markets, aimed at fostering consistency in authorisation, supervision and enforcement related to the relocation of entities, activities and functions from the United Kingdom .

The opinions, building on the general opinion issued in May, are practical tools to support supervisory convergence in the context of requests from UK financial market participants seeking to relocate to the EU27. They are addressed to national competent authorities (NCAs) and are relevant for market participants considering relocating.

They provide guidance to NCAs aimed at ensuring a consistent interpretation of the requirements relating to authorisation, supervision and enforcement in order to avoid the development of regulatory and supervisory arbitrage risks.

13/07/2017 ESMA35-43-762 Opinion to support supervisory convergence in the area of investment firms in the context of the United Kingdom withdrawing from the European Union , Opinion PDF
236.23 KB
13/07/2017 ESMA35-45-344 Opinion to support supervisory convergence in the area of investment management in the context of the United Kingdom withdrawing from the European Union , Opinion PDF
246.6 KB
31/05/2017 ESMA71-99-469 ESMA issues principles on supervisory approach to relocations from the UK , Press Release PDF
143.31 KB

The European Securities and Markets Authority (ESMA) has published an Opinion setting out general principles aimed at fostering consistency in authorisation, supervision and enforcement related to the relocation of entities, activities and functions from the United Kingdom. The opinion is addressed to national competent authorities (NCAs), in particular of the 27 Member States that will remain in the EU (EU27).

The opinion is a practical tool to support supervisory convergence in the context of increased requests from UK financial market participants seeking to relocate to the EU27. It covers all legislation referred to in the ESMA Regulation, in particular the AIFMD, the UCITS Directive, MiFID I and MiFID II.

31/05/2017 ESMA42-110-433 General Principles to support supervisory convergence in the context of the UK withdrawing from the EU Opinion PDF
182.68 KB

The European Securities and Markets Authority’s (ESMA) competence to deliver an opin-ion is based on Article 29(1)(a) of Regulation (EU) No 1095/2010 of the European Parliament and of the Council (ESMA Regulation).  In accordance with Article 44(1) of the ESMA Regulation, the Board of Supervisors has adopted this opinion.

18/05/2017 ESMA42-113-627 Follow-up Report to the Peer Review on MiFID Conduct of Business rules relating to fair, clear and not misleading information Report PDF
960.69 KB
11/04/2017 ESMA31-68-153 Closing Keynote CMU Mid Term Review Public Hearing- Steven Maijoor , Speech PDF
154.17 KB