ESMA LIBRARY
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Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 19/12/2016 | 2016/1673 | 2016-1673 Q&A on MiFID II commodity derivatives topics | MiFID - Secondary Markets | Q&A | PDF 338.93 KB |
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| 15/10/2018 | ESMA31-62-1114 | 2017 Report on EEA prospectus activity | Corporate Finance | Final Report | PDF 385.45 KB |
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| 12/09/2013 | 2013/08/ODRG | Agreed Understandings to Resolving Cross-border Conflicts, Inconsistencies, Gaps and Duplicative Requirements | Post Trading | Final Report | PDF 442.48 KB |
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| 28/09/2015 | 2015-ESMA-1464 Annex II | Annex II- CBA- draft RTS and ITS on MiFID II and MiFIR | MiFID - Secondary Markets | Final Report | PDF 5.07 MB |
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| 21/12/2017 | ESMA70-151-812 | Annual peer review of EU CCP supervision on supervisory activities on CCPs’ Default Management Procedures | Post Trading | Final Report | PDF 471.59 KB |
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| 25/02/2015 | 2015/494 | Best Execution under MiFID | MiFID - Investor Protection, Supervisory convergence | 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. | |||
| 28/02/2008 | 08-099 | CESR Executive summary to the report on administrative measures and sanctions as well as the criminal sanctions available in Member States under the Market Abuse Directive | Market Abuse | Final Report | PDF 874.1 KB |
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| 28/09/2015 | 2015/1455 CBA | Cost analysis for Final Report on MAR technical standards | Market Abuse | Final Report | PDF 2.59 MB |
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| 28/08/2020 | ESMA70-156-3490 | CSDR RTS on Settlement Discipline – Postponement until 1 February 2022 | Post Trading | Final Report | PDF 365.39 KB |
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| 26/05/2016 | 2016/725 | Draft RTS on indirect clearing arrangements under EMIR and MiFIR | Guidelines and Technical standards, Post Trading, MiFID - Secondary Markets | Final Report | PDF 740.71 KB |
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| 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 | MiFID - Investor Protection | Final Report | PDF 1.23 MB |
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| 07/02/2020 | ESMA70-156-2076 | EMIR Final Report on alignment clearing and trading obligations | Post Trading | Final Report | PDF 309.87 KB |
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| 13/08/2015 | 2015/1251 | EMIR Review Report no.1- Review on the use of OTC derivatives by non-financial counterparties | Post Trading | Final Report | PDF 3.03 MB |
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| 13/08/2015 | 2015/1252 | EMIR Review Report no.2- Review on the efficiency of margining requirements to limit procyclicality | Post Trading | Final Report | PDF 3.93 MB |
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| 13/08/2015 | 2015/1253 | EMIR Review Report no.3- Review on the segregation and portability requirements | Post Trading | Final Report | PDF 267.55 KB |
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| 13/08/2015 | 2015/1254 | EMIR Review Report no.4- ESMA input as part of the Commission consultation on the EMIR Review | Post Trading | Final Report | PDF 399.85 KB |
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| 08/01/2015 | 2015/20 | ESMA review of CCP colleges under EMIR | Post Trading | Final Report | PDF 542.87 KB |
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| 02/10/2013 | 2013/1373 | ESMA Technical advice on equivalence of Australia- OTC and TR (Supplement) | Post Trading | Final Report | PDF 736.17 KB |
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| 29/04/2016 | 2016/658 | EU-wide CCP Stress test Report 2015 | Post Trading | Final Report | PDF 1.77 MB |
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| 04/02/2015 | ESMA/2015/234 | Feedback Statement on the Consultation on the Clearing Obligation for Non-Deliverable Forwards | Post Trading | Final Report | PDF 259.08 KB |