ESMA LIBRARY

The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
111
DOCUMENTS

REFINE YOUR SEARCH

Sections

Type of document

Your filters
Guidelines and Technical standards X Board of Supervisors X Securities Financing Transactions X European Single Electronic Format X IFRS Supervisory Convergence X Speech X Reference X
Reset all filters

Pages

Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
25/08/2014 JC/2014/43 lt Vertybinių popierių (ESMA) ir bankų (EBI) sektorių skundų nagrinėjimo gairės , Reference PDF
153.6 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.

06/01/2020 ESMA74-362-388 LEI statement SFTR Reference PDF
105.88 KB
19/06/2019 ESMA74-362-27 Keynote by ESMA Chair at Eurofiling – European Central Bank conference Speech PDF
250.93 KB
18/10/2017 ESMA71-99-637 Speech by Valdis Dombrovskis- ESMA Conference 2017 , Speech PDF
381.97 KB
17/10/2017 ESMA71-99-635 The State of European Financial Markets- Steven Maijoor, Opening Address, ESMA Conference , Speech PDF
175.8 KB
02/10/2017 ESMA71-99-608 Annex (Template for the Assessment of Collective Suitability) , Reference XLSX
72.7 KB
08/02/2017 ESMA71-844457584-346 Review of the European Supervisory Authorities: Opportunities to ensure a safe and sound financial system , Speech PDF
187.98 KB
27/05/2019 ESMA70-151-2371 Response form to consultation on Guidelines for reporting under Articles 4 and 12 SFTR Reference DOCX
757.3 KB
27/05/2019 ESMA70-151-1019 Consolidated SFTR_Validation_Rules Reference XLSX
120.19 KB
26/04/2018 ESMA63-43-964 ESMA Budget Amendment n.1 for 2017 , , Reference PDF
204.31 KB
19/01/2018 ESMA63-43-874 ESMA Budget 2018 , , Reference PDF
194.52 KB
23/01/2017 ESMA63-43-485 ESMA Budget 2017 , , Reference PDF
191.97 KB
13/01/2020 ESMA63-43-1444 ESMA Budget 2020 , , Reference PDF
128.99 KB
07/02/2019 ESMA63-43-1190 ESMA Budget 2019 , , Reference ZIP
455.34 KB
14/03/2019 ESMA63-43-1131 ESMA Budget Amendment n.1 for 2018 , , Reference PDF
292.13 KB
13/07/2017 ESMA43-318-5630 Breach of union law investigations Reference PDF
208.61 KB

Updated on 18 September 2020

16/12/2020 ESMA42-646012687-331 ESMA Guidelines , Reference XLSX
64.38 KB
06/02/2019 ESMA42-114-647 ESMA's Supervisory Convergence Work Programme 2019 , Reference PDF
334.85 KB
16/12/2020 ESMA42-110-812 Notifications of Compliance with Guidelines – Overview Table Reference XLSX
80.9 KB
07/07/2017 ESMA41-37-1007 Rules of procedure of the Mediation panel Reference PDF
257.16 KB

Updated to reflect the inclusion of EEA/EFTA

Pages