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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|11/10/2019||ESMA42-646012687-331||ESMA Guidelines||Corporate Information, Guidelines and Technical standards||Reference||PDF
|11/10/2019||ESMA42-110-812||Notifications of Compliance with Guidelines – Overview Table||Guidelines and Technical standards||Reference||XLSX
|10/10/2019||ESMA41-140-79||Technical standards||Corporate Information, Guidelines and Technical standards||Reference||XLSX
|02/10/2017||ESMA71-99-608||Annex (Template for the Assessment of Collective Suitability)||Guidelines and Technical standards, MiFID - Investor Protection||Reference||XLSX
|29/09/2017||70-145-105||Draft Guidelines on non-significant benchmarks||Benchmarks, Guidelines and Technical standards||Consultation Paper||PDF
|31/10/2016||2016/1529 ANNEX||Annex I- Template for the assessment of collective suitability||Guidelines and Technical standards, MiFID - Investor Protection||Reference||XLSX
|28/10/2016||2016/1529||Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body and key function holders||Guidelines and Technical standards, MiFID - Investor Protection||Consultation Paper||PDF
|31/05/2016||2016/732||Guidelines on participant default rules and procedures under CSDR||Guidelines and Technical standards, Post Trading||Consultation Paper||PDF
The European Securities and Markets Authority (ESMA) under Article 41(4) of Regulation (EU) No 909/2014 of the European Parliament and of the Council on improving securities settlement in the European Union and on central securities depositories and amending Directives 98/26/EC and 2014/65/EU and Regulation No 236/2012 (CSDR) may issue guidelines in accordance with Article 16 of Regulation (EU) No 1095/2010 in order to ensure consistent application of Article 41 of CSDR relating to participant default rules and procedures.
Section 2 contains information on the background and mandate, Section 3 contains an analysis of the scope and content of the proposed guidelines, while Section 4 contains the proposed guidelines.
Annex I sets out a summary of the questions contained in this paper and Annex II includes a high level cost-benefit analysis for the guidelines.
ESMA will consider the feedback it will receive to this consultation with a view to finalising the guidelines by Q4 2016.
|25/08/2014||JC/2014/43 lt||Vertybinių popierių (ESMA) ir bankų (EBI) sektorių skundų nagrinėjimo gairės||Guidelines and Technical standards, Joint Committee||Reference||PDF
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.
|08/08/2014||2014/869 ES||Directrices sobre las obligaciones de información de los artículos 3(3)(d) y 24(1), (2y (4) de la DGFIA||Guidelines and Technical standards||Reference||PDF
|08/08/2014||2014/869 nl||Richtsnoeren voor rapportageverplichtingen uit hoofde van artikel 3, lid 3, onder d), en artikel 24, leden 1, 2 en 4, van de AIFMD||Guidelines and Technical standards||Reference||PDF
|29/11/2013||2013/998 SL||Smernice o vzorcu memoranduma glede posvetovanja, sodelovanja in izmenjave informacij v zvezi z nadzorom subjektov iz direktive UAIS||Fund Management, Guidelines and Technical standards||Reference||PDF
|29/11/2013||2013/998 DA||Retningslinjer for modellen til aftalememorandum om høring, samarbejde og informationsudveksling vedrørende tilsyn med AIFMD-enheder||Fund Management, Guidelines and Technical standards||Reference||PDF