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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
05/11/2020 ESMA30-379-325 Response form- CP on TR Article 8 advice Reference DOCX
775.77 KB
19/07/2012 2011/454 MOU on the supervision of CRAs- ESMA and ASIC , Reference PDF
4 MB
This document contains two copies of the MOU, signed by ESMA and by the ASIC.
19/07/2012 2012/124 MOU on the supervision of CRAs- ESMA and MAS , Reference PDF
574.14 KB
25/11/2013 2013/1709 Review Panel Methodology Reference PDF
98.29 KB
05/06/2014 2014/608 MMoU on Cooperation Arrangements and Exchange of Information , Reference PDF
205.85 KB

The European Securities and Markets Authority (ESMA) has published the text of a new multilateral memorandum of understanding (MMoU) between EEA national competent authorities, and between national competent authorities and ESMA which entered into force on 29 May 2014. It has been signed by 33 authorities in the securities and markets area. The new MMoU was agreed in view of the increasing internationalisation, harmonisation and interdependence of financial services and markets in the European Union. It is designed to facilitate cooperation arrangements and the exchange of information between national competent authorities, and between national competent authorities and ESMA, in the application of their responsibilities under Union law relating to the securities and markets area. It also updates and replaces a previous agreement on the Exchange of Information and Surveillance of Securities Activities agreed by the members of the Committee of European Securities Regulators (formerly the Forum of European Securities Commissions) entered into by those members on 26 January 1999. List of Signatories to MMoU on Cooperation Arrangements and Exchange of Information

16/01/2015 2015 ESMA SFC MoU MoU between ESMA and SFC regarding CCPs Reference PDF
635.27 KB
11/02/2016 2016/203 2016 Supervisory Convergence Work Programme , Reference PDF
340.61 KB

The European Securities and Markets Authority’s (ESMA) Supervisory Convergence Work Programme for 2016 (2016 SCWP) supplements ESMA’s Annual Work Programme for 2016 (ESMA/2015/1475) by further elaborating the nature and focus of the work ESMA will carry out in order to promote supervisory convergence and how that will contribute to implementing ESMA’s Strategic Orientation for 2016-2020 (ESMA/2015/935).

The 2016 SCWP provides an overview and explanation of the steps ESMA will take in 2016 to promote sound, efficient and consistent supervision in the EU.  It sets out priority areas and how they have been identified and sets them in the context of the wider work programme and environment.

Implementation of the 2016 SCWP will be monitored in the course of 2016 and depending on developments during the year, priorities might be re-adjusted. It will also be used to inform ESMA’s Annual Report and its supervisory convergence work programme for future years which will be risk-based.

04/04/2016 2016/229 ToR SCSC Reference PDF
93.7 KB
15/04/2016 2016/632 Principles- Stakeholder engagement in peer reviews Reference PDF
205.26 KB
11/06/2020 2020 06 11 ESA letter to the EC , , Letter PDF
97.3 KB
16/07/2020 2020 07 15 ESAs Letter to EVP Dombrovskis re Sustainable Finance Consultation Letter PDF
118.46 KB
02/04/2020 ESMA 70-152-3050 CCSPSA consultation_Response Form , , Reference DOCX
774.63 KB
09/03/2015 ESMA MAS MoU ESMA and MAS MoU on CCPs Reference PDF
758.85 KB
22/02/2018 ESMA-180219 ESMA’s consultation papers on draft regulatory standards under the securitisation regulation Reference PDF
276.43 KB
04/01/2021 ESMA-UKFCA MoU ESMA-UK FCA MoU on consultation, cooperation and exchange of information , Reference PDF
195.27 KB
06/10/2017 ESMA/2015/BS/175 Delegation Agreement Reference PDF
359.63 KB
06/10/2017 ESMA/2015/BS/176 A Amendment 2 to the Delegation Agreement- Option A rev1.1 Reference PDF
178.72 KB
06/10/2017 ESMA/2015/BS/176 B Amendment 2 to the Delegation Agreement- Option B rev 1.1 Reference PDF
178.86 KB
06/10/2017 ESMA/2016/1144 Annex 1.3 Annex 1.3- Description of Tasks Reference PDF
144.86 KB
06/10/2017 ESMA/2016/1144 Annex 2.3 Annex 2.3- Project Presentation Document (TRACE Project) Reference PDF
379.91 KB

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