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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
01/12/2015 JC/2015/079 2015 list of identified Financial Conglomerates , Reference PDF
146.29 KB
01/10/2014 2014/1200 2015 Work Programme , , Reference PDF
500.54 KB
The European Securities and Markets Authority (ESMA) has published its Work Programme for 2015. The programme sets out how ESMA intends to achieve its statutory objectives of investor protection and stable and orderly functioning markets through its operational activities of convergence, risk monitoring and analysis, the single rulebook and supervision. The projected work programme is based on a budget of €38,639,000 and a staff base of 202 people as per the budget approved by ESMA’s Board of Supervisors on 6 February 2014 and subsequently submitted to the EU institutions. At the time of drafting, the budget prepared by the European Commission and sent to the EU Council and Parliament for ESMA in 2015 is for €33,627,920 and 186 people. In order to prepare for the eventuality that ESMA will receive fewer posts than planned for in the work programme, Annex 5 contains a list of the areas of work that ESMA would be unable to accomplish in 2015 with reduced resources.
10/10/2014 JC/2014/74 2015 Work Programme of the Joint Committee of the European Supervisory Authorities Reference PDF
241.51 KB
28/09/2015 2015/1469 2015-1469- Investment Firms briefing , Reference PDF
314.38 KB
28/09/2015 2015/1470 2015-1470- Non-financials briefing , Reference PDF
307.12 KB
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.

05/10/2015 JC/2015/055 2016 Work Programme of the Joint Committee of the European Supervisory Authorities Reference PDF
249.68 KB
05/10/2015 JC/2015/055 2016 Work Programme of the Joint Committee of the European Supervisory Authorities Reference PDF
249.68 KB
The Joint Committee of the European Supervisory Authorities in 2016 will continue to prioritise consumer protection – in particular the work on Packaged Retail and Insurance-based Investment Products (PRIIPs), and cross-sectoral risk analysis. Moreover, it will proceed with the joint regulatory work already underway in areas such as anti-money laundering, financial conglomerates and securitisation while being prepared to address any new developments in the European regulatory field if necessary.
16/12/2016 2016/1669 2016-1669 Q&A on AIFMD Q&A PDF
436.68 KB
19/12/2016 2016/1673 2016-1673 Q&A on MiFID II commodity derivatives topics Q&A PDF
338.93 KB
09/02/2016 2016/272AF 2016_mdsc_cwg_application_form Reference DOCX
40.48 KB
09/02/2017 ESMA42-397158525-448 2017 Supervisory Convergence Work Programme Reference PDF
540.81 KB
07/02/2018 ESMA20-95-823 2018 Regulatory Work Programme , , , Reference PDF
251.91 KB
01/10/2019 ESMA20-95-1132 2020 Work Programme , , , Reference PDF
543.97 KB
25/08/2021 Joint Committee 2021 Work Programme of the Joint Committee of the European Supervisory Authorities Reference PDF
166.23 KB
01/10/2021 JC 2021 34 2022 Work Programme of the Joint Committee of the European Supervisory Authorities Reference PDF
648.99 KB
13/07/2020 ESMA70-151-3190 3rd EU-Wide CCP Stress Test FAQ , Reference DOCX
464.64 KB
04/07/2022 ESMA91-372-2239 4th ESMA CCP Stress Test FAQ , Reference PDF
352.51 KB
23/06/2022 ESMA34-32-418 AIFMD MoUs signed by the EU authorities , Reference XLSX
49.99 KB
23/09/2014 2013/1358 AIFMD reporting IT technical guidance (rev 4) [updated] Reference ZIP
155.52 KB
The IT technical guidance (2013/1358) contains the following set of documents: IT technical guidance in which is included the description of changes performed on the technical guidance and/or XSD documents in sheet “change history. XML samples for AIFM and AIF reports Excel version of Annex III – “Table of geographical areas” Previous version of XSD documents (Version 1.1) The current IT technical guidance revision 4 contains modifications on the IT technical guidance to take into account the last published version of Questions and Answers (Q&A) on the application of the AIFMD (2014/868) as well as some clarifications and correction of inconsistencies with XSD documents. Questions regarding technical support should be sent to info.it.aifmd[at]esma.europa.eu. Each AIFM should contact directly the national competent authorities to know how the filling of the XML reports will be handled at national level.

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