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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
29/11/2013 2013/998 DA Retningslinjer for modellen til aftalememorandum om høring, samarbejde og informationsudveksling vedrørende tilsyn med AIFMD-enheder , Reference PDF
241.03 KB
29/11/2013 2013/998 SL Smernice o vzorcu memoranduma glede posvetovanja, sodelovanja in izmenjave informacij v zvezi z nadzorom subjektov iz direktive UAIS , Reference PDF
246.77 KB
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 Reference PDF
740.75 KB
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 Reference PDF
727.22 KB
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.

14/09/2015 2015/1381 Annex to the Statement by Steven Maijoor ESAs Joint Committee- ECON Hearing 14 September 2015 , Reference PDF
253.1 KB
23/09/2016 2016/1392 Annex to ECON Hearing Statement by Steven Maijoor, ESMA Chair Reference PDF
438.02 KB

The Annex contains key facts and figures about ESMA's activity over the last 12 months.

31/10/2016 2016/1529 ANNEX Annex I- Template for the assessment of collective suitability , Reference XLSX
54.43 KB
02/10/2017 ESMA71-99-608 Annex (Template for the Assessment of Collective Suitability) , Reference XLSX
72.7 KB
06/08/2019 ESMA74-361-75 Call for interest DAG members , Reference PDF
167.88 KB
03/02/2020 ESMA70-156-2347 Response form- CP on MiFIR report on SI Reference DOCX
755.71 KB
04/02/2020 ESMA70-156-2188rf Reply_form_CP_MiFID_EQT_REVIEW Reference DOCX
778.67 KB
10/03/2020 ESMA70-156-2189rf Reply from MiFIR non-equity consultation Reference DOCX
778.57 KB
15/07/2020 ESMA42-111-4128 PEER REVIEW ON GUIDELINES ON ENFORCEMENT OF FINANCIAL INFORMATION- Country report DE , , Report PDF
285.02 KB
16/07/2020 ESMA70-156-2682 MiFIDII MiFIR report on Transparency Equity DVC TOS Reference PDF
808.99 KB
16/07/2020 ESMA70-156-2756 MiFIDII MiFIR report on systematic internalisers Reference PDF
818.99 KB
16/07/2020 ESMA71-99-1369 Timeline of upcoming MiFID II Review Reports ESMA pager Reference PDF
88.04 KB
28/09/2020 ESMA70-156-3844 Response form- CP on the functioning of OTFs , Reference DOCX
753.44 KB
05/10/2020 ESMA41-140-79 Technical standards , Reference XLSX
120.37 KB
08/10/2020 ESMA70-156-3430 Call for Evidence_RTS 1 and RTS 2 Review Reference XLSX
8.99 MB