ESMA LIBRARY
The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
28
REFINE YOUR SEARCH
Sections
- (-) Remove Joint Committee filter Joint Committee
- CESR Archive (309) Apply CESR Archive filter
- Corporate Information (77) Apply Corporate Information filter
- Post Trading (54) Apply Post Trading filter
- Fund Management (39) Apply Fund Management filter
- Credit Rating Agencies (35) Apply Credit Rating Agencies filter
- MiFID - Secondary Markets (34) Apply MiFID - Secondary Markets filter
- MiFID - Investor Protection (31) Apply MiFID - Investor Protection filter
- CCP Directorate (18) Apply CCP Directorate filter
- Corporate Disclosure (18) Apply Corporate Disclosure filter
- Market Abuse (15) Apply Market Abuse filter
- Prospectus (14) Apply Prospectus filter
- Benchmarks (10) Apply Benchmarks filter
- Market Integrity (9) Apply Market Integrity filter
- Securitisation (9) Apply Securitisation filter
- Trading (9) Apply Trading filter
- Planning reporting budget (8) Apply Planning reporting budget filter
- Short Selling (6) Apply Short Selling filter
- Transparency (6) Apply Transparency filter
- Board of Supervisors (5) Apply Board of Supervisors filter
- Securities Financing Transactions (5) Apply Securities Financing Transactions filter
- Supervisory convergence (5) Apply Supervisory convergence filter
- Trade Repositories (5) Apply Trade Repositories filter
- Innovation and Products (4) Apply Innovation and Products filter
- Market data (4) Apply Market data filter
- Risk Analysis & Economics - Markets Infrastructure Investors (4) Apply Risk Analysis & Economics - Markets Infrastructure Investors filter
- Corporate Finance (3) Apply Corporate Finance filter
- Corporate Governance (3) Apply Corporate Governance filter
- Guidelines and Technical standards (3) Apply Guidelines and Technical standards filter
- IFRS Supervisory Convergence (3) Apply IFRS Supervisory Convergence filter
- Management Board (3) Apply Management Board filter
- Sustainable finance (2) Apply Sustainable finance filter
- COVID-19 (1) Apply COVID-19 filter
- Crowdfunding (1) Apply Crowdfunding filter
- European Single Electronic Format (1) Apply European Single Electronic Format filter
- MiFID II: Transparency Calculations and DVC (1) Apply MiFID II: Transparency Calculations and DVC filter
Type of document
- (-) Remove Consultation Paper filter Consultation Paper
- (-) Remove Annual Report filter Annual Report
- (-) Remove CESR Document filter CESR Document
- Reference (83) Apply Reference filter
- Guidelines & Recommendations (77) Apply Guidelines & Recommendations filter
- Final Report (32) Apply Final Report filter
- Press Release (26) Apply Press Release filter
- Letter (21) Apply Letter filter
- Report (15) Apply Report filter
- Statement (12) Apply Statement filter
- Summary of Conclusions (10) Apply Summary of Conclusions filter
- Decision (8) Apply Decision filter
- Q&A (5) Apply Q&A filter
- Speech (4) Apply Speech filter
- Compliance table (3) Apply Compliance table filter
- Opinion (3) Apply Opinion filter
- SMSG Advice (3) Apply SMSG Advice filter
- Investor Warning (2) Apply Investor Warning filter
- Technical Advice (2) Apply Technical Advice filter
- Technical Standards (2) Apply Technical Standards filter
Your filters Reset all filters
Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
---|---|---|---|---|---|---|---|---|---|
09/04/2019 | 2019 19 | Joint Committee Annual Report 2018 | Joint Committee | Annual Report | PDF 198.17 KB |
||||
24/07/2014 | CP/2014/04 | Draft Regulatory Technical Standards on risk concentration and intra-group transactions under Article 21a (1a) of the Financial Conglomerates Directive | Joint Committee | Consultation Paper | PDF 324.25 KB |
Please send your comments to the EBA and EIOPA using the following links: Respond to the EBA. Respond to EIOPA. The consultation period closes on 24 October 2014. | |||
02/04/2020 | ESMA70-151-2823 | ESMA Report to the European Commission on Central Clearing Obligations for PSA- No 1 | Joint Committee, Post Trading, Supervisory convergence | Consultation Paper | PDF 309.21 KB |
||||
23/04/2020 | JC 2020 16 | Joint ESA consultation on ESG disclosures | Joint Committee, Sustainable finance | Consultation Paper | PDF 911.13 KB |
||||
07/04/2021 | JC 2021 08 | Joint Committee Annual Report 2020 | Joint Committee | Annual Report | PDF 1.01 MB |
||||
21/10/2021 | JC 2021 61 | Call for evidence on the European Commission mandate regarding the PRIIPs Regulation | Fund Management, Joint Committee | Consultation Paper | PDF 844.1 KB |
||||
19/04/2022 | JC 2022 01 | Joint Committee Annual Report 2021 | Joint Committee | Annual Report | PDF 217.87 KB |
||||
07/11/2013 | JC CP 2013 02 | Joint Consultation Paper On Mechanistic references to credit ratings in the ESAs’ guidelines and recommendations | Joint Committee | Consultation Paper | PDF 347.81 KB |
The Joint Committee of the European Supervisory Authorities (EBA, ESMA and EIOPA - ESAs) is launching today a one-month public consultation on the removal of mechanistic references to credit ratings in their guidelines and on the definition of sole and mechanistic reliance on such ratings. The term “sole and mechanistic reliance on credit ratings” is mentioned in Article 5b(1) of the European Regulation on Credit Rating Agencies (Regulation (EU) No 462/2013). However, neither its formal definition nor explanations of its meaning are included in the document. In order to have a common approach towards this issue, the ESAs have developed a definition of “sole and mechanistic reliance”, and are consulting with market participants on whether this definition is clear and can be used in practice. The consultation paper contains: - a proposed definition for “sole or mechanistic reliance”, including examples; - the provisions in the three ESAs’ guidelines that are not to be defined as mechanistic; and - those provisions that are to be considered as mechanistic and therefore should be amended. The ESAs intend to refer to this definition in all their future guidelines, recommendations and draft technical standards where relevant. The current public consultation also contributes to the initiative of the Financial Stability Board to reduce the reliance on ratings. The consultation paper is available on the websites of the three ESAs: EBA, ESMA and EIOPA. The consultation will end at close of business on 5 December. Responses can be made here. | |||
16/10/2019 | JC-2019-63 | Consultation Paper on amendments to PRIIPs KID | Fund Management, Joint Committee | Consultation Paper | PDF 2.42 MB |
||||
06/11/2013 | JC-CP-2013-03 | Draft guidelines for complaints-handling for the securities (ESMA) and banking (EBA) sectors | Joint Committee | Consultation Paper | PDF 192.58 KB |
Reasons for publication Consumers in the EU can purchase, and firms can offer, financial services and products in the investment, banking and insurance sectors across the EU Single Market. In order to increase market confidence of all participants, the Joint Committee of the three European Supervisory Authorities (ESAs) is seeking to develop a harmonised approach to handling complaints. The three ESAs are doing so through guidelines that, once adopted, will apply equally across all 28 Member States and will be the same for all three sectors of financial services. To that end, ESMA and the EBA have developed guidelines for the investment and banking sectors that build on the existing complaints-handling guidelines established by EIOPA for the insurance sector. The objective is to allow EU consumers to refer to a single set of complaints-handling arrangements, irrespective of the type of product or service or the geographical location of the firm in question. This, in turn, will also allow firms to streamline and standardise their complaints-handling arrangements, and national regulators to supervise the same requirements across all sectors of financial services. ESMA and the EBA expect to publish the final guidelines in Q1 2014. Consultation process Comments should be sent to ESMA and the EBA by e-mail to sarah.raisin@esma.europa.eu and joint-committee@eba.europa.eu. Please note that the deadline for the submission of comments is 7 February 2014. All contributions received will be published following the close of the consultation, unless requested otherwise. | |||
30/10/2014 | JC/2014/01 add | Addendum to Joint CP on draft ITS on the mapping of ECAIs | Joint Committee | Consultation Paper | PDF 157.22 KB |
The Joint Committee of the three European Supervisory Authorities (EBA, ESMA and EIOPA - ESAs) published today an addendum to the joint consultation on the mapping of the credit assessments to risk weights of External Credit Assessment Institutions (ECAIs). The addendum provides further details on the application of the rules proposed in the draft Implementing Technical Standards (ITS) in relation to particular ECAIs and is to be considered as an extension of the consultation process. The consultation period will be reopened until 30 November 2014 in order to collect additional comments. In line with the specifications included in the joint Consultation Paper published in February 2014, this addendum contains the individual mapping tables of all relevant ECAIs. The proposed mappings establish the level of capital that financial institutions should hold in order to ensure the safety and soundness of the EU financial system. These draft mappings are based on the amount of objective information available for each ECAI regarding the performance of its credit ratings. Therefore, the draft mappings mainly reflect the historical ability of ECAIs to anticipate negative credit events. For those cases where only a small number of credit ratings were available, the draft mappings have to a large extent relied on alternative information; whereas, when no relevant information was found, a certain degree of prudence has been applied. Furthermore, the addendum contains some additional aspects resulting from the cost-benefit/impact assessment analysis. The analysis shows that the proposals for the largest ECAIs are not expected to have a significant impact on financial institutions in terms of capital requirements. Only in very specific cases the average capital requirement associated with a particular ECAI might increase by up to 10%. In the case of ECAIs that currently have no mapping established, the impact is expected to reflect the true risk profile of the rated entities. In addition, the EBA also published the individual draft mapping reports that illustrate how the rules proposed in the draft ITS were applied. The draft mappings will be reviewed in light of any comments received during the consultation process. Consultation process The consultation deadline is 30 November 2014 and responses can be submitted here. All contributions received will be published following the close of the consultation, unless requested otherwise. Draft Mapping Reports | |||
21/10/2015 | JC/2015/060 | Joint Consultation on Guidelines on AML_CFT RBS_Art 48(10) | Joint Committee | Consultation Paper | PDF 265.86 KB |
||||
11/11/2015 | JC/2015/073 | Consultation Paper PRIIPs Key Information Documents | Fund Management, Joint Committee | Consultation Paper | PDF 2.23 MB |
||||
04/12/2015 | JC/2015/080 | Discussion Paper on automation in financial advice | Joint Committee | Consultation Paper | PDF 344.48 KB |
||||
19/12/2016 | JC/2016/86 | Joint Committee Discussion Paper on the Use of Big Data by Financial Institutions | Joint Committee | Consultation Paper | PDF 538.4 KB |
||||
14/05/2012 | JC/CP/2012/01 | EBA, EIOPA and ESMA’s Joint Consultation Paper on its proposed response to the Commission’s Review of the Financial Conglomerates Directive | Joint Committee | Consultation Paper | PDF 590.22 KB |
||||
24/10/2012 | JC/CP/2012/01 Feedback statement | ESA feedback statement on the Joint CP on Financial Conglomerates | Joint Committee | CESR Document | PDF 82.95 KB |
||||
24/10/2012 | JC/CP/2012/01 Responses | Responses to the Joint CP on Financial Conglomerates | Joint Committee | Consultation Paper | PDF 183.7 KB |
||||
31/08/2012 | JC/CP/2012/02 | Joint consultation paper on Draft Regulatory Technical Standards on the uniform conditions of application of the calculation methods under Article 6.2 of the Financial Conglomerates Directive | Joint Committee | Consultation Paper | PDF 769.24 KB |
Please send your comments to the EBA, EIOPA and ESMA by email to joint-committee@eba.europa.eu, jointcommittee@eiopa.europa.eu and joint.committee@esma.europa.eu by 05.10.2012, indicating the reference ‘JC CP 2012 02’ in the subject field. Please note that comments submitted after the deadline, or sent to another e-mail address will not be processed. | |||
25/10/2012 | JC/CP/2012/02 Responses | Responses to the second Joint CP on Financial Conglomerates | Joint Committee | Consultation Paper | ZIP 4.54 MB |