ESMA LIBRARY
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Reset all filters| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 18/02/2015 | JC/GL/2014/43 Appendix 1 | Compliance table for JC guidelines for complaints-handling for the securities (ESMA) and banking (EBA) sectors | Guidelines and Technical standards, Joint Committee | Compliance table | PDF 187.15 KB |
The table contains details of the competent authorities* who comply or intend to comply with the ESAs’ Joint Guidelines on complaints-handling for the securities (ESMA) and banking (EBA) sectors. |
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| 06/11/2018 | ESMA35-43-1215 | Compliance table for Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body | Guidelines and Technical standards, Joint Committee, MiFID - Investor Protection | Compliance table | PDF 293.08 KB |
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| 04/12/2019 | ESMA70-21038340-46 | Compliance table for the Guidelines on market making activities under the Short Selling Regulation | Guidelines and Technical standards, Market Integrity, Short Selling | Compliance table | PDF 267.48 KB |
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| 22/12/2015 | JC/2015/087 | Compliance Table GL financial conglomerates | Guidelines and Technical standards, Joint Committee | Compliance table | PDF 291.93 KB |
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| 01/12/2020 | ESMA32-67-142 | Compliance table on ESMA Guidelines on the enforcement of financial information | Corporate Disclosure, IFRS Supervisory Convergence | Compliance table | PDF 150.56 KB |
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| 13/02/2020 | ESMA70-145-66 | Compliance table regarding MAR guidelines for persons receiving market soundings | Guidelines and Technical standards, Market Abuse | Compliance table | PDF 138.03 KB |
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| 04/02/2019 | ESMA70-145-67 | Compliance table regarding MAR guidelines on delay in the disclosure of inside information | Guidelines and Technical standards, Market Abuse | Compliance table | PDF 177.87 KB |
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| 04/02/2019 | ESMA70-145-153 | Compliance table- MAR Guidelines on information relating to commodity derivatives markets or related spot markets for the purpose of the definition of inside information on commodity derivatives | Guidelines and Technical standards, Market Abuse, Market Integrity | Compliance table | PDF 179.29 KB |