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|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
|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’.|
|25/10/2012||JC/CP/2012/02 Responses||Responses to the second Joint CP on Financial Conglomerates||Joint Committee||Consultation Paper||ZIP
|24/10/2012||JC/CP/2012/01 Responses||Responses to the Joint CP on Financial Conglomerates||Joint Committee||Consultation Paper||PDF
|23/06/2015||JC/DP/2015/01 reply form||Response form to joint Discussion Paper on PRIIPS||Fund Management, Joint Committee||Consultation Paper||DOCX
|28/10/2016||2016/1529||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, MiFID - Investor Protection||Consultation Paper||PDF
|23/04/2020||JC 2020 16||Joint ESA consultation on ESG disclosures||Joint Committee, Sustainable finance||Consultation Paper||PDF
|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
|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.|
|07/11/2013||JC CP 2013 02||Joint Consultation Paper On Mechanistic references to credit ratings in the ESAs’ guidelines and recommendations||Joint Committee||Consultation Paper||PDF
|The Joint Committee of the European Supervisory Authorities (EBA, ESMA and EIOPA - ESAs) is launching today a one-month public consultation on the removal of mechanistic references to credit ratings in their guidelines and on the definition of sole and mechanistic reliance on such ratings. The term “sole and mechanistic reliance on credit ratings” is mentioned in Article 5b(1) of the European Regulation on Credit Rating Agencies (Regulation (EU) No 462/2013). However, neither its formal definition nor explanations of its meaning are included in the document. In order to have a common approach towards this issue, the ESAs have developed a definition of “sole and mechanistic reliance”, and are consulting with market participants on whether this definition is clear and can be used in practice. The consultation paper contains: - a proposed definition for “sole or mechanistic reliance”, including examples; - the provisions in the three ESAs’ guidelines that are not to be defined as mechanistic; and - those provisions that are to be considered as mechanistic and therefore should be amended. The ESAs intend to refer to this definition in all their future guidelines, recommendations and draft technical standards where relevant. The current public consultation also contributes to the initiative of the Financial Stability Board to reduce the reliance on ratings. The consultation paper is available on the websites of the three ESAs: EBA, ESMA and EIOPA. The consultation will end at close of business on 5 December. Responses can be made here.|
|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
|Please send your comments to the EBA, EIOPA and ESMA by email to email@example.com, firstname.lastname@example.org and email@example.com 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.|
|21/10/2015||JC/2015/060||Joint Consultation on Guidelines on AML_CFT RBS_Art 48(10)||Joint Committee||Consultation Paper||PDF
|19/12/2016||JC/2016/86||Joint Committee Discussion Paper on the Use of Big Data by Financial Institutions||Joint Committee||Consultation Paper||PDF
|22/12/2014||JC/CP/2014/05||Joint Committee Consultation Paper on guidelines for cross-selling practices||Joint Committee||Consultation Paper||PDF
|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.|
|25/08/2021||Joint Committee||JC 2014 Joint Committee Consultation Paper on guidelines for cross-selling practices||Joint Committee||Consultation Paper||PDF
|31/05/2016||2016/732||Guidelines on participant default rules and procedures under CSDR||Guidelines and Technical standards, Post Trading||Consultation Paper||PDF
The European Securities and Markets Authority (ESMA) under Article 41(4) of Regulation (EU) No 909/2014 of the European Parliament and of the Council on improving securities settlement in the European Union and on central securities depositories and amending Directives 98/26/EC and 2014/65/EU and Regulation No 236/2012 (CSDR) may issue guidelines in accordance with Article 16 of Regulation (EU) No 1095/2010 in order to ensure consistent application of Article 41 of CSDR relating to participant default rules and procedures.
Section 2 contains information on the background and mandate, Section 3 contains an analysis of the scope and content of the proposed guidelines, while Section 4 contains the proposed guidelines.
Annex I sets out a summary of the questions contained in this paper and Annex II includes a high level cost-benefit analysis for the guidelines.
ESMA will consider the feedback it will receive to this consultation with a view to finalising the guidelines by Q4 2016.
|19/07/2013||2013/1013||Guidelines on enforcement of financial information||Corporate Disclosure, IFRS Supervisory Convergence||Consultation Paper||PDF
Responding to this paper The European Securities and Markets Authority (ESMA) is seeking comments on all matters covered in this paper and in particular on the specific questions summarised in Annex 1. Comments are most helpful if they: respond to the question stated; indicate the specific question to which the comment relates; contain a clear rationale; and describe any alternatives ESMA should consider. Deadline ESMA will consider all comments received by 15 October 2013. All contributions should be submitted online at www.esma.europa.eu under the heading “Your input - Consultations” Publication of responses All contributions received will be published following the close of the consultation, unless you request otherwise. Please clearly and prominently indicate in your submission any part you do not wish to be publicly disclosed. 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 ESMA’s rules on 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 ESMA’s Board of Appeal and the European Ombudsman. Data protection Information on data protection can be found at www.esma.europa.eu under the heading “Legal Notice”. Who should read this paper All interested parties are invited to respond to this consultation paper. It will primarily be of interest to those charged with the governance of issuers preparing financial information, users of financial information, auditors, and other parties who have a particular interest in financial reporting.
|01/10/2012||2012/607||Further amendments to ESMA’s Recommendations for the consistent implementation of the Prospectus Regulation regarding mineral companies||Prospectus, Corporate Disclosure||Consultation Paper||PDF
|23/03/2011||2011/67||Feedback statement- Consultation Paper on proposed amendments to CESR||Prospectus, Corporate Disclosure||CESR Document||PDF
|20/03/2013||2013/318||Feedback Statement on proposed amendments to the ESMA update of the CESR recommendations for the consistent implementation of the Prospectuses Regulation regarding mineral companies||Prospectus, Corporate Disclosure, Transparency||CESR Document||PDF
|13/12/2011||2011/444||ESMA’s technical advice on possible delegated acts concerning the Prospectus Directive as amended by the Directive 2010/73/EU||Prospectus, Corporate Disclosure||Consultation Paper||PDF
|The purpose of this consultation document from ESMA is to seek comments on the technical advice that ESMA proposes to give to the European Commission on a number of possible delegated acts.|
|20/06/2012||2012/380||ESMA’s technical advice on possible delegated acts concerning the Prospectus Directive as amended by the Directive 2010/73/EU||Prospectus, Corporate Disclosure||Consultation Paper||PDF
|Responses to this consultation paper should be submitted online by 20 August 2012.|