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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
22/12/2014 JC/GL/2014/01/IT Allegato I. Modello per il processo di mappatura del conglomerato finanziario (allegato JC 2014 070) Guidelines and Technical standards, Joint Committee Guidelines & Recommendations XLSX
68.26 KB
22/12/2014 JC/GL/2014/01/RO Anexa I: Formular pentru procesul de mapare aferent conglomeratului financiar (Anexa 2014 070 a Guidelines and Technical standards, Joint Committee Guidelines & Recommendations XLSX
66.2 KB
22/12/2014 JC/GL/2014/01/PT Anexo I: Modelo para o processo de levantamento do conglomerado financeiro (JC 2014 070 Anexo) Guidelines and Technical standards, Joint Committee Guidelines & Recommendations XLSX
68.14 KB
22/12/2014 JC/GL/2014/01/ES Anexo I: Plantilla para el proceso de asignación del conglomerado financiero (Anexo 2014 070 del Comité Mixto) Guidelines and Technical standards, Joint Committee Guidelines & Recommendations XLSX
68.87 KB
22/12/2014 JC/GL/2014/01/DE Anhang I: Vorlage für das Mapping-Verfahren für Finanzkonglomerate (ABl. 2014 070 Anhang) Guidelines and Technical standards, Joint Committee Guidelines & Recommendations XLSX
68.05 KB
22/12/2014 JC/GL/2014/01/MT Anness I: Mudell għall-proċess ta’ mmappjar għall-konglomerat finanzjarju (Anness JC 2014 070) Guidelines and Technical standards, Joint Committee Guidelines & Recommendations XLSX
68.01 KB
22/12/2014 JC/GL/2014/01/FR Annexe I: modèle pour le processus de cartographie du conglomérat financier (annexe JC 2014 070) Guidelines and Technical standards, Joint Committee Guidelines & Recommendations XLSX
68.7 KB
25/08/2014 JC/2014/43 fi Arvopaperialaa (ESMA) ja pankkialaa (EPV) koskevat ohjeet valitusten käsittelystä Joint Committee, Guidelines and Technical standards Guidelines & Recommendations PDF
150.96 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.
22/12/2014 JC/GL/2014/01 LT Bendrosiosgairės dėl priežiūros praktikos, kuri susijusi su finansinių konglomeratų priežiūros veiklos koordinavimo tvarkos suderinimu, konvergencijos Guidelines and Technical standards, Joint Committee Guidelines & Recommendations PDF
227.31 KB
22/12/2014 JC/GL/2014/01/NL Bijlage I: Model voor het in kaart brengen (mapping) van het financiële conglomeraat (JC 2014 07 Guidelines and Technical standards, Joint Committee Guidelines & Recommendations XLSX
67.95 KB
22/12/2014 JC/GL/2014/01/DA Bilag I: Skema til brug for kortlægningen af det finansielle konglomerat (JC 2014 070 Bilag) Guidelines and Technical standards, Joint Committee Guidelines & Recommendations XLS
93.5 KB
22/12/2014 JC/GL/2014/01/SV Bilaga I: Mall för kartläggningsprocessen för det finansiella konglomeratet (JC 2014 070 Guidelines and Technical standards, Joint Committee Guidelines & Recommendations XLSX
62.26 KB
22/12/2014 JC/GL/2014/01 ES Directrices comunes sobre la convergencia de las prácticas supervisoras con respecto a la coherencia de los acuerdos de coordinación de la supervisiónde conglomerados financieros Guidelines and Technical standards, Joint Committee Guidelines & Recommendations PDF
181.09 KB
25/08/2014 JC/2014/43 es Directrices sobre la gestión de quejas y reclamaciones para los sectores de valores (ESMA) y bancario (ABE) Joint Committee, Guidelines and Technical standards Guidelines & Recommendations PDF
157.17 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.
20/04/2012 2012/236 ESMA's Technical Advice on possible delegated acts of the short-selling and certain aspects of CDS Short Selling, Market Integrity Technical Advice PDF
509.39 KB
03/02/2015 2015/224 ESMA’s technical advice on possible delegated acts concerning the Market Abuse Regulation Market Abuse Technical Advice PDF
1021.03 KB		 This advice:•    specifies the MAR market manipulation indicators, by providing examples of practices that may constitute market manipulation as well as proposing “additional” indicators of market manipulation; •    recommends to set the minimum thresholds that exempt certain market participants in the emission allowance market from publicly disclosing inside information at six million tonnes of CO2eq per year and at 2,430 MW rated thermal input;•    suggests the way to determine to which regulator delays in disclosure of inside information needs to be notified.  •    provides clarifications on the enhanced disclosure of managers’ transactions. - ESMA recommends disclosing  any acquisition, disposal, subscription or exchange of financial instruments of the relevant issuer or related financial instruments carried out by managers,, further illustrated through a non-exhaustive list of types of transactions subject to this obligation.  . ESMA also clarifies the transactions that can be allowed by the issuer during a closed period when normally managers are prohibited to trade; and•    proposes procedures and arrangements to ensure sound whistleblowing infrastructures – i.e. EU national regulators should allow the receipt of reports of infringements, including appropriate communication channels and guarantee the protection of reporting and reported persons, with respect to their identity and their personal data. Next steps ESMA has sent its technical advice to the European Commission for its consideration in drafting its implementing standards regarding MAR. ESMA’s regulatory technical standards regarding MAR will be delivered in July 2015.
26/09/2017 ESMA71-99-598 Final Report on 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, Joint Committee, MiFID - Investor Protection Guidelines & Recommendations PDF
1.48 MB
22/12/2014 JC/GL/2014/01 DA Fælles retningslinjer om konvergens i tilsynspraksis hvad angår konsekvent implementering af tilsynskoordinerende ordninger for finansielle konglomerater Guidelines and Technical standards, Joint Committee Guidelines & Recommendations PDF
187.31 KB
22/12/2014 JC/GL/2014/01 NL Gemeenschappelijke richtsnoeren betreffende de convergentie van toezichtpraktijken met betrekking tot coherente coördinatieregelingen voor het toezicht op financiële conglomeraten Guidelines and Technical standards, Joint Committee Guidelines & Recommendations PDF
214.02 KB
22/12/2014 JC/GL/2014/01 DE Gemeinsame Leitlinien über die Angleichung der Aufsichtspraxis in Bezug auf die Einheitlichkeit von Kooperationsvereinbarungen für die Beaufsichtigung von Finanzkonglomeraten Guidelines and Technical standards, Joint Committee Guidelines & Recommendations PDF
170.92 KB

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