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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
11/02/2016 2016/203 2016 Supervisory Convergence Work Programme , Reference PDF
340.61 KB

The European Securities and Markets Authority’s (ESMA) Supervisory Convergence Work Programme for 2016 (2016 SCWP) supplements ESMA’s Annual Work Programme for 2016 (ESMA/2015/1475) by further elaborating the nature and focus of the work ESMA will carry out in order to promote supervisory convergence and how that will contribute to implementing ESMA’s Strategic Orientation for 2016-2020 (ESMA/2015/935).

The 2016 SCWP provides an overview and explanation of the steps ESMA will take in 2016 to promote sound, efficient and consistent supervision in the EU.  It sets out priority areas and how they have been identified and sets them in the context of the wider work programme and environment.

Implementation of the 2016 SCWP will be monitored in the course of 2016 and depending on developments during the year, priorities might be re-adjusted. It will also be used to inform ESMA’s Annual Report and its supervisory convergence work programme for future years which will be risk-based.

09/02/2017 ESMA42-397158525-448 2017 Supervisory Convergence Work Programme Reference PDF
540.81 KB
02/04/2020 ESMA 70-152-3050 CCSPSA consultation_Response Form , , Reference DOCX
774.63 KB
13/01/2020 ESMA31-62-1409 Compliance table GLs on Risk factors Reference PDF
133.15 KB
20/12/2019 ESMA71-100-1792 CRAs and TRs Follow Up Fees Factsheet , , Reference PDF
122.09 KB
04/12/2019 ESMA31-59-1417 ESMA amendments to an RTS relating to the PR Reference PDF
283.48 KB
05/06/2020 ESMA42-111-4966 ESMA Peer Review Methodology Reference PDF
291.81 KB

This document replaces the previous version of the Peer Review Methodology

18/06/2021 ESMA71-102-173 ESMA Q&As- list of questions currently under development Reference XLSX
126.66 KB
06/02/2019 ESMA42-114-647 ESMA's Supervisory Convergence Work Programme 2019 , Reference PDF
334.85 KB
28/01/2021 ESMA32-384-5080 Languages accepted for scrutiny of the Prospectus and translation requirements for Summaries Reference PDF
171.3 KB
23/10/2020 ESMA31-62-1193 List of prospectus thresholds , , Reference PDF
220.58 KB
05/01/2017 ESMA70-151-3061 Methodology for Mandatory Peer Reviews in relation to CCPs’ authorisation and supervision under EMIR , Reference PDF
783.96 KB
11/02/2019 ESMA35-43-1493 MiFID II supervisory briefing on the use of third-country branches by EU firms , , Reference PDF
469.29 KB
15/04/2016 2016/632 Principles- Stakeholder engagement in peer reviews Reference PDF
205.26 KB
27/03/2020 ESMA70-151-3035 PTRR consultation_Response Form , Reference DOCX
774.88 KB
28/05/2021 ESMA70-1861941480-56 Q&A on MiFIR data reporting , Q&A PDF
1.04 MB
11/04/2019 ESMA31-62-780 Q&A on Prospectus Related Topics , , , , , , Q&A PDF
957.9 KB
30/03/2021 ESMA34-32-352 Q&A on the Application of the AIFMD , Q&A PDF
706.17 KB
28/05/2021 ESMA70-145-114 Q&A on the Benchmarks Regulation (BMR) , Q&A PDF
530.2 KB
28/05/2021 ESMA35-43-349 Q&As on MiFID II and MiFIR investor protection topics , Q&A PDF
1005.17 KB