ESMA LIBRARY

The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
107
DOCUMENTS

REFINE YOUR SEARCH

Sections

Type of document

Your filters
Credit Rating Agencies X Joint Committee X Guidelines & Recommendations X
Reset all filters

Pages

Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
22/12/2014 JC/GL/2014/01/IT Allegato I. Modello per il processo di mappatura del conglomerato finanziario (allegato JC 2014 070) , Guidelines & Recommendations XLSX
68.26 KB
22/12/2014 JC/GL/2014/01/RO Anexa I: Formular pentru procesul de mapare aferent conglomeratului financiar (Anexa 2014 070 a , Guidelines & Recommendations XLSX
66.2 KB
22/12/2014 JC/GL/2014/01/PT Anexo I: Modelo para o processo de levantamento do conglomerado financeiro (JC 2014 070 Anexo) , Guidelines & Recommendations XLSX
68.14 KB
22/12/2014 JC/GL/2014/01/ES Anexo I: Plantilla para el proceso de asignación del conglomerado financiero (Anexo 2014 070 del Comité Mixto) , Guidelines & Recommendations XLSX
68.87 KB
22/12/2014 JC/GL/2014/01/DE Anhang I: Vorlage für das Mapping-Verfahren für Finanzkonglomerate (ABl. 2014 070 Anhang) , Guidelines & Recommendations XLSX
68.05 KB
22/12/2014 JC/GL/2014/01/MT Anness I: Mudell għall-proċess ta’ mmappjar għall-konglomerat finanzjarju (Anness JC 2014 070) , Guidelines & Recommendations XLSX
68.01 KB
22/12/2014 JC/GL/2014/01/FR Annexe I: modèle pour le processus de cartographie du conglomérat financier (annexe JC 2014 070) , Guidelines & Recommendations XLSX
68.7 KB
25/08/2014 JC/2014/43 fi Arvopaperialaa (ESMA) ja pankkialaa (EPV) koskevat ohjeet valitusten käsittelystä , Guidelines & Recommendations PDF
150.96 KB
The European Securities and Markets Authority (ESMA) and the European Banking Authority (EBA) published today their Joint Committee final Report on guidelines for handling consumer complaints in the securities and banking sectors. The document aims to increase market confidence and for the benefit of consumers and firms alike it will ensure a harmonised approach to handling complaints for all 28 EU Member States and across all financial services sectors.The final report published today is part of the efforts of the European Supervisory Authorities to bring further supervisory convergence across the securities and banking sectors. It was developed on the basis of the existing complaints-handling guidelines established by EIOPA (the European Insurance and Occupational Pensions Authority) for the insurance sector. The report was launched for a public consultation last year and this final version takes into consideration the feedback received.ESMA and the EBA consider that these guidelines will ensure a consistent approach to complaints-handling across the EU. Consumers can purchase financial services and products in the investment, banking and insurance sectors across the entire EU Single Market and these guidelines will allow them to refer to a single set of complaints-handling arrangements. EU consumers will therefore be able to rely on the same approach irrespective of what type of product they have purchased and where they have purchased it.In addition to strengthening consumer protection -a key statutory objective for ESMA and for the EBA-, the guidelines will also allow firms, some of which sell products from more than one sector across the EU, to streamline and standardise their own complaints-handling arrangements. National regulators too will be able to supervise the same harmonised requirements across all sectors of financial services in their own jurisdictions.The guidelines will be translated into the official languages of the European Union (EU) and they will become applicable two months after the date of publication of their translations.
22/12/2014 JC/GL/2014/01 LT Bendrosiosgairės dėl priežiūros praktikos, kuri susijusi su finansinių konglomeratų priežiūros veiklos koordinavimo tvarkos suderinimu, konvergencijos , Guidelines & Recommendations PDF
227.31 KB
22/12/2014 JC/GL/2014/01/NL Bijlage I: Model voor het in kaart brengen (mapping) van het financiële conglomeraat (JC 2014 07 , Guidelines & Recommendations XLSX
67.95 KB
22/12/2014 JC/GL/2014/01/DA Bilag I: Skema til brug for kortlægningen af det finansielle konglomerat (JC 2014 070 Bilag) , Guidelines & Recommendations XLS
93.5 KB
22/12/2014 JC/GL/2014/01/SV Bilaga I: Mall för kartläggningsprocessen för det finansiella konglomeratet (JC 2014 070 , Guidelines & Recommendations XLSX
62.26 KB
17/12/2012 2011/188 Cooperation including delegation between ESMA, the competent authorities and the sectoral competent authorities under Regulation (EU) No 513/2011 on credit rating agencies Guidelines & Recommendations PDF
190.32 KB
22/12/2014 JC/GL/2014/01 ES Directrices comunes sobre la convergencia de las prácticas supervisoras con respecto a la coherencia de los acuerdos de coordinación de la supervisiónde conglomerados financieros , Guidelines & Recommendations PDF
181.09 KB
25/08/2014 JC/2014/43 es Directrices sobre la gestión de quejas y reclamaciones para los sectores de valores (ESMA) y bancario (ABE) , Guidelines & Recommendations PDF
157.17 KB
The European Securities and Markets Authority (ESMA) and the European Banking Authority (EBA) published today their Joint Committee final Report on guidelines for handling consumer complaints in the securities and banking sectors. The document aims to increase market confidence and for the benefit of consumers and firms alike it will ensure a harmonised approach to handling complaints for all 28 EU Member States and across all financial services sectors.The final report published today is part of the efforts of the European Supervisory Authorities to bring further supervisory convergence across the securities and banking sectors. It was developed on the basis of the existing complaints-handling guidelines established by EIOPA (the European Insurance and Occupational Pensions Authority) for the insurance sector. The report was launched for a public consultation last year and this final version takes into consideration the feedback received.ESMA and the EBA consider that these guidelines will ensure a consistent approach to complaints-handling across the EU. Consumers can purchase financial services and products in the investment, banking and insurance sectors across the entire EU Single Market and these guidelines will allow them to refer to a single set of complaints-handling arrangements. EU consumers will therefore be able to rely on the same approach irrespective of what type of product they have purchased and where they have purchased it.In addition to strengthening consumer protection -a key statutory objective for ESMA and for the EBA-, the guidelines will also allow firms, some of which sell products from more than one sector across the EU, to streamline and standardise their own complaints-handling arrangements. National regulators too will be able to supervise the same harmonised requirements across all sectors of financial services in their own jurisdictions.The guidelines will be translated into the official languages of the European Union (EU) and they will become applicable two months after the date of publication of their translations.
23/06/2015 2015/609 ES Directrices sobre la información periódica que deben presentar a la AEVM las agencias de calificación crediticia , Guidelines & Recommendations PDF
168.16 KB
ES - Texto traducido por el Centro de Traducción de los Órganos de la Unión Europea
26/09/2017 ESMA71-99-598 Final Report on Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body and key function holders , , Guidelines & Recommendations PDF
1.48 MB
18/05/2011 2011/139 Final report- Guidelines on the application of the endorsement regime under Article 4 (3) of the Credit Rating Agencies Regulation No 1060/2009 , Guidelines & Recommendations PDF
653.98 KB
22/12/2014 JC/GL/2014/01 DA Fælles retningslinjer om konvergens i tilsynspraksis hvad angår konsekvent implementering af tilsynskoordinerende ordninger for finansielle konglomerater , Guidelines & Recommendations PDF
187.31 KB
22/12/2014 JC/GL/2014/01 NL Gemeenschappelijke richtsnoeren betreffende de convergentie van toezichtpraktijken met betrekking tot coherente coördinatieregelingen voor het toezicht op financiële conglomeraten , Guidelines & Recommendations PDF
214.02 KB

Pages