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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
02/10/2020 ESMA20-95-1273 2021 Annual Work Programme Board of Supervisors, Corporate Information, Management Board, Planning reporting budget Report PDF
608.58 KB
29/09/2020 ESMA WP-2020-3 ESMA working paper on DVC mechanism and impact on EU equity markets Innovation and Products, Risk Analysis & Economics - Markets Infrastructure Investors Report PDF
535.76 KB
13/07/2020 ESMA35-43-2427 Sanctions and measures imposed under MiFID II in 2019 MiFID - Investor Protection Report PDF
563.38 KB
29/06/2020 ESMA50-164-3463 ESMA’s response to the European Commission’s Consultation on a New Digital Finance Strategy for Europe Innovation and Products Report PDF
380.54 KB
06/04/2020 ESMA 50-165-1098 ESMA annual statistical report on performance and costs of retail investment products in the EU- 2020 Fund Management, MiFID - Investor Protection, Risk Analysis & Economics - Markets Infrastructure Investors Report PDF
4.08 MB
05/12/2019 ESMA70-156-1606 MiFID II/MiFIR Review Report No. 1 MiFID - Secondary Markets Report PDF
1004.81 KB
17/07/2019 ESMA35-36-1711 Report on sanctions and measures imposed under MiFID II in 2018 MiFID - Investor Protection Report PDF
296.09 KB
12/07/2019 ESMA50-164-2430 Report on the Licensing of FinTech business models Innovation and Products Report PDF
585.36 KB
03/06/2019 ESMA70-156-835 Supervisory Briefing PreTradeTransparency Non-Equity Instruments MiFID - Secondary Markets, Supervisory convergence Report PDF
148.65 KB
09/01/2019 ESMA50-157-1391 Advice on Initial Coin Offerings and Crypto-Assets Innovation and Products Report PDF
882.48 KB
07/01/2019 JC 2018 74 Joint ESA report on Regulatory sandboxes and innovation hubs Innovation and Products, Joint Committee Report PDF
478.79 KB
24/07/2018 ESMA42-111-4653 Follow-up Report to the Peer Review on MiFID Suitability Requirements MiFID - Investor Protection Report PDF
435.05 KB
17/07/2018 ESMA32-51-522 ESMA response to the European Commission consultation on the Fitness Check on the EU Framework for public reporting by companies Corporate Disclosure, IAS Regulation Report PDF
625.18 KB
01/06/2018 ESMA50-162-215 Product Intervention Analysis CFDs MiFID - Investor Protection, Risk Analysis & Economics - Markets Infrastructure Investors Report PDF
1.26 MB
01/06/2018 ESMA50-162-214 Product Intervention Analysis Binary Options MiFID - Investor Protection, Risk Analysis & Economics - Markets Infrastructure Investors Report PDF
776.15 KB
29/09/2017 ESMA70-156-227 Final report on draft RTS on the trading obligation for derivatives under MiFIR MiFID - Secondary Markets Report PDF
609.23 KB
03/07/2017 ESMA31-62-746 EEA prospectus activity in 2016 Corporate Finance, Prospectus Report PDF
475.66 KB
07/06/2017 ESMA50-158-457 ESMA response to the Commission Consultation Paper on Fintech: A more competitive and innovative financial sector Innovation and Products Report PDF
712.26 KB
  1. ESMA welcomes the opportunity to respond to the Commission Consultation paper on Fintech: a more competitive and innovative financial sector (hereafter “the Consultation”).
  2. Fintech and, technological innovation in general, have been the drivers of a number of developments in the financial sector in recent years. Indeed, new forms of services and businesses such as automated advice or crowdfunding have emerged. ESMA sees these developments as a positive evolution as long as they are aimed at improving consumer financial experience and facilitate financial inclusion. ESMA would also want to stress that it adheres to the core principles (technological neutrality, proportionality and market integrity) highlighted by the Commission and agrees that any EU policies aiming to ensure the financial sector takes advantage of cutting-edge technologies, while remaining sound and safe for investors, need to integrate these principles.
  3. In this response, ESMA wishes to share with the Commission some reflections on a number of topics mentioned in the Consultation which appear relevant to ESMA:
    • Artificial intelligence and big data analytics for automated advice and businesses;
    • Crowdfunding;
    • Reg Tech;
    • Outsourcing and cloud computing;
    • Distributed ledger technology;
    • Role of regulation and supervisors; and
    • Role of industry: standards and interoperability
05/04/2017 ESMA31-54-435 Report on shareholder identification and communication systems Corporate Finance, Corporate Governance Report PDF
1.09 MB
31/03/2017 ESMA/2017/70-8792942901-40 Final report on Draft RTS specifying the scope of the consolidated tape for non-equity financial instruments MiFID - Secondary Markets Report PDF
644.29 KB

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