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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
18/02/2019 ESMA40-134-2158 Conflict of interests and ethics policy- ESMA staff , Reference PDF
10.1 MB
14/06/2011 2011/190 ESMA guidebook Reference PDF
781.37 KB
This guidebook provides useful information for persons coming to ESMA for meetings or hearings.
09/08/2011 2011/239 2011 Calendar of the Chair and Executive Director of ESMA- updated 20 December 2011 Reference PDF
219.25 KB
04/01/2012 2011/330 final ESMA 2012 Work Programme Reference PDF
751.64 KB
This document sets out ESMA’s work programme for 2012, highlighting the key priorities and explaining how they will be delivered. This document has been approved by ESMA’s Management Board and Board of Supervisors. Annex 3 presents a more detailed view on the key work streams ESMA will run in 2012.
19/07/2012 2011/454 MOU on the supervision of CRAs- ESMA and ASIC , Reference PDF
4 MB
This document contains two copies of the MOU, signed by ESMA and by the ASIC.
03/01/2011 2011/9 Frequently asked questions- a guide to understanding ESMA Reference PDF
307.77 KB
28/10/2011 2011/SMSG/11 Response to ESMA's Consultation paper on guidelines on systems and controlsin a highly automated trading environment for trading platforms, investmentfirms and competent authorities SMSG Advice PDF
48.99 KB
28/10/2011 2011/SMSG/12 Position paper- ESMA's Consultation on systems and controls in a highly automated trading environment for trading platforms, investment firms and competent authorities SMSG Advice PDF
59.19 KB
28/10/2011 2011/SMSG/13 Advice on ESMA's draft technical advice to the European Commission on possible implementing measures of the Alternative Investment Fund Man-agers Directive in relation to supervision and third countries SMSG Advice PDF
88.23 KB
01/12/2011 2011/SMSG/15 Summary of conclusions- SMSG meeting on 11 October 2011 Reference PDF
80.45 KB
01/12/2011 2011/SMSG/18 Advice on ESMA's public consultation on UCITS Exchange traded funds in the European Union SMSG Advice PDF
149.17 KB
19/10/2011 2011/SMSG/3 Summary of conclusions- meeting of the SMSG on 21 July 2011 Reference PDF
59.38 KB
17/04/2012 2012/108 ESMA budget for 2012 Reference PDF
180.43 KB
19/07/2012 2012/124 MOU on the supervision of CRAs- ESMA and MAS , Reference PDF
574.14 KB
03/09/2015 2012/236 Annual list of contractors- 2011 Reference PDF
143.08 KB
07/05/2012 2012/275 ESMA’s 2012 Regulatory Work Programme Reference PDF
198.04 KB
ESMA’s annual regulatory programme aims to provide information on the planned technical standards, technical advice and guidelines & recommendations to be issued by ESMA in 2012. This information is provided in accordance with article 3 of the procedure for developing and adopting draft technical standards and guidelines and recommendations. The regulatory programme takes into account, amongst others, ESMA’s objectives and tasks, the procedure for adopting technical standards, providing technical advice and issuing guidelines as well as the scope and nature of specific powers conferred in European Union legislative acts to ESMA.    The regulatory work programme is based on the ESMA 2012 Work Programme approved by the Board of Supervisors in November 2011 and published on 4 January 2012 on the ESMA website, but provides a more detailed outline of the individual work streams.  
01/10/2012 2012/631 ESMA 2013 Work Programme Reference PDF
699.1 KB
01/10/2012 2012/632 ESMA 2013-2015 multi annual work programme Reference PDF
298.61 KB
24/01/2012 2012/SMSG/1 SMSG work programme for 2012 Reference PDF
58.17 KB
This document sets out the work programme for 2012 which has been adopted by the Securities and Markets Stakeholder Group. It also sets out a preliminary work programme for 2013 which falls within the current Group’s mandate.
28/02/2012 2012/SMSG/11 Advice on Guidelines on certain aspects of the MiFID suitability requirements SMSG Advice PDF
138.1 KB

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