ESMA LIBRARY
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Reset all filtersDate | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
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25/08/2021 | Joint Committee | JC 2014 Joint Committee Consultation Paper on guidelines for cross-selling practices | Joint Committee | Consultation Paper | PDF 366.32 KB |
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25/08/2021 | Joint Committee | JC 2016 ESAs publish the revised Joint Guidelines on the Prudential Assessment of Acquisitions and Increases of Qualifying Holdings in the Financial Sector | Joint Committee | Press Release | PDF 188.15 KB |
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23/06/2015 | JC/DP/2015/01 reply form | Response form to joint Discussion Paper on PRIIPS | Fund Management, Joint Committee | Consultation Paper | DOCX 797.16 KB |
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17/11/2014 | JC/DP/2014/02 | Discussion Paper- Key Information Documents for Packaged Retail and Insurance-based Investment Products (PRIIPs) | Fund Management, Joint Committee | Consultation Paper | PDF 1.38 MB |
EBA, EIOPA, and ESMA (the ESAs) welcome comments on this Discussion Paper on Key Information Documents for Packaged Retail and Insurance-based Investment Products (PRIIPs).Comments can be sent by clicking on the ‘input’ button on the consultation page of one of the ESA’s websites. Please note that the deadline for the submission of comments is 17 February 2015. Comments submitted after this deadline, or submitted via other means may not be processed. It is important to note that although you may not be able to respond to each and every question, the ESAs would encourage partial responses from stakeholders on those questions that they believe are most relevant to them.Publication of responsesAll contributions received will be published following the close of the consultation, unless you request otherwise in the consultation form. A confidential response may be requested from us in accordance with the ESA’s rules on public access to documents.1 We may consult you if we receive such a request. Any decision we make not to disclose the response is reviewable by the Board of Appeal of the ESA’s and the European Ombudsman.Data protectionInformation on data protection can be found at the different ESA’s websites under the heading ‘Legal notice' | |||
23/12/2014 | JC/DP/2014/01 | Discussion Paper- The Use of Credit Ratings by Financial Intermediaries Article 5(a) of the CRA Regulation | Credit Rating Agencies, Joint Committee | Consultation Paper | PDF 538.9 KB |
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06/03/2012 | JC/DP/2012/1 | Joint Discussion Paper on Draft Regulatory Technical Standards on risk mitigation techniques for OTC derivatives not cleared by a CCP under the Regulation on OTC derivatives, CCPs and Trade Repositories | Joint Committee | Consultation Paper | PDF 402.37 KB |
EBA, EIOPA and ESMA (the ESAs) invite market participants and all interested stakeholders to provide their feedback on planned regulatory technical standards covering risk mitigation techniques for OTC derivatives not cleared by central counterparties. The EMIR Regulation (“the Regulation”) on OTC Derivatives, CCPs and trade repositories introduces provisions to improve transparency and reduce the risks associated with the OTC derivatives market and establishes common rules for central counterparties (CCPs) and for trade repositories (TRs). The Regulation acknowledges that not all OTC derivatives would meet the necessary requirements to be centrally cleared. For this reason, it introduces provisions on risk mitigation techniques for OTC derivatives not cleared by a CCP. | |||
23/06/2015 | JC/DC/2015/01 | Technical Discussion Paper (DP) on the PRIIPs Key Information Document (KID) | Fund Management, Joint Committee | Consultation Paper | PDF 1.16 MB |
EBA, EIOPA, and ESMA (the ESAs) welcome comments on this Technical Discussion Paper on Risk, Performance Scenarios and Cost Disclosures in Key Information Documents for Packaged Retail and Insurance-based Investment Products (PRIIPs). The discussion paper is available on the websites of the three ESAs. Comments on this discussion paper can be sent using the response form, via the ESMA website under the heading ‘Your input/Consultations’ by 17 August 2015. Contributions not received in Word, or sent to an email address, or after the deadline, will not be processed. It is important to note that although you may not be able to respond to each and every question, the ESAs would encourage partial responses from stakeholders on those questions that they believe are most relevant to them. Publication of responses All contributions received will be published following the close of the consultation, unless you request otherwise. A standard confidentiality statement in an email message will not be treated as a request for non-disclosure. A confidential response may be requested from us in accordance with the ESAs’ rules on public access to documents. We may consult you if we receive such a request. Any decision we make not to disclose the response is reviewable by the Board of Appeal of the ESAs and the European Ombudsman. Data protection Information on data protection can be found on the different ESAs’ websites under the heading ‘Legal notice’. | |||
22/12/2014 | JC/CP/2014/05 | Joint Committee Consultation Paper on guidelines for cross-selling practices | Joint Committee | Consultation Paper | PDF 366.32 KB |
The Joint Committee of the three European Supervisory Authorities (EBA, EIOPA and ESMA) published today a consultation paper on draft Guidelines for regulating cross-selling practices in the financial sector across the EU. These guidelines establish a coherent and effective approach in supervising firms that offer cross-selling options, so as to enhancing protection of EU customers. The consultation will run until XX March 2015. The draft Guidelines are aimed at EU competent authorities and develop further how EU firms engaging in cross-selling practices in the financial sector should comply with the general conduct of business standards expected toward customers. In particular, the Guidelines provide an approach for supervising firms valid across the EU and give more scope for EU customers to take better informed purchasing decisions. While cross-selling financial products can benefit customers by reducing the cost of purchase, cross-selling can also result in customers purchasing products that they do not necessarily want or may be unsuitable for their needs or will bind consumers in a long-term contractual agreement. In order to address these risks, the Joint Committee of the three European Supervisory Authorities developed requirements for enhanced disclosure and transparency around prices, costs and other non-price features, such as how the risks change as a result of buying products as a package. The Guidelines also require that all relevant information is communicated in a timely and exhaustive manner, hence improving customer understanding of the purchase and the suitability/appropriateness of the cross-sold package. The proposed Guidelines of the Joint Committee are developed under Article 16 of the Founding Regulations of the three ESAs. The Joint Committee expects to publish the final guidelines in Q2 2015. Consultation process The consultation paper is available on the websites of the three ESAs: EBA, ESMA and EIOPA. Comments to this consultation paper can be sent here. | |||
14/04/2014 | JC/CP/2014/03 | EBA, ESMA and EIOPA consultation paper on draft technical standards under EMIR | Joint Committee | Consultation Paper | PDF 1.11 MB |
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25/10/2012 | JC/CP/2012/02 Responses | Responses to the second Joint CP on Financial Conglomerates | Joint Committee | Consultation Paper | ZIP 4.54 MB |
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31/08/2012 | JC/CP/2012/02 | Joint consultation paper on Draft Regulatory Technical Standards on the uniform conditions of application of the calculation methods under Article 6.2 of the Financial Conglomerates Directive | Joint Committee | Consultation Paper | PDF 769.24 KB |
Please send your comments to the EBA, EIOPA and ESMA by email to joint-committee@eba.europa.eu, jointcommittee@eiopa.europa.eu and joint.committee@esma.europa.eu by 05.10.2012, indicating the reference ‘JC CP 2012 02’ in the subject field. Please note that comments submitted after the deadline, or sent to another e-mail address will not be processed. | |||
24/10/2012 | JC/CP/2012/01 Responses | Responses to the Joint CP on Financial Conglomerates | Joint Committee | Consultation Paper | PDF 183.7 KB |
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24/10/2012 | JC/CP/2012/01 Feedback statement | ESA feedback statement on the Joint CP on Financial Conglomerates | Joint Committee | CESR Document | PDF 82.95 KB |
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14/05/2012 | JC/CP/2012/01 | EBA, EIOPA and ESMA’s Joint Consultation Paper on its proposed response to the Commission’s Review of the Financial Conglomerates Directive | Joint Committee | Consultation Paper | PDF 590.22 KB |
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19/12/2016 | JC/2016/86 | Joint Committee Discussion Paper on the Use of Big Data by Financial Institutions | Joint Committee | Consultation Paper | PDF 538.4 KB |
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07/04/2016 | JC/2016/21 PR | Joint Press Release draft RTS on PRIIPs | Fund Management, Joint Committee, Press Releases | Press Release | PDF 207.66 KB |
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09/09/2015 | JC/2015/2 | Press release- ESAs see continued risks in EU financial markets and call for rigorous action on assets and liabilities | Joint Committee, Press Releases | Press Release | PDF 125.07 KB |
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04/12/2015 | JC/2015/087 | ESAs issue discussion paper on automation in financial advice | Joint Committee, Press Releases | Press Release | PDF 95.61 KB |
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04/12/2015 | JC/2015/080 | Discussion Paper on automation in financial advice | Joint Committee | Consultation Paper | PDF 344.48 KB |
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11/11/2015 | JC/2015/078 | ESAs consult on PRIIPs key information for retail investors | Fund Management, Joint Committee, Press Releases | Press Release | PDF 120.45 KB |