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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|04/01/2011||10-1541||3L3 Committees Joint Letter on the European Commission’s Green Paper on Audit: Lessons learnt from the Crisis||Joint Committee, Audit||Letter||PDF
|04/01/2011||10-1541 Annex 1||3L3 Committees Joint Letter on the European Commission’s Green Paper on Audit: Lessons learnt from the Crisis- CESR annex||Joint Committee, Audit||Letter||PDF
|04/01/2011||10-1541 Annex 2||3L3 Committees Joint Letter on the European Commission’s Green Paper on Audit: Lessons learnt from the Crisis- CEBS annex||Joint Committee, Audit||Letter||PDF
|04/01/2011||10-1541 Annex 3||3L3 Committees Joint Letter on the European Commission’s Green Paper on Audit: Lessons learnt from the Crisis- CEIOPS annex||Joint Committee, Audit||Letter||PDF
|13/11/2013||2013/1561||Review of the European System on Financial Supervision (ESFS)||Joint Committee||Letter||PDF
|06/11/2014||2014-41||ESA’s budget 2015 – ensuring safe financial markets||Joint Committee||Letter||PDF
|The European Supervisory Authorities - European Banking Authority (EBA), European Insurance and Occupational Pensions Authority (EIOPA), European Securities and Markets Authority (ESMA) - have written to the President of the Economic and Financial Affairs Council (ECOFIN) on their concerns regarding the budget negotiations for the 2015 EU budget and the budgetary constraints of the ESAs.|
|22/04/2015||2015/532||Investment using virtual currency or distributed ledger technology||Innovation and Products||Consultation Paper||PDF
|ESMA has been monitoring and analysing virtual currency investment over the last 6 months, to understand developments in the market, potential benefits or risks for investors, market integrity or financial stability, and to support the functioning of the EU single market. ESMA’s analysis is set out in this paper. ESMA is seeking to share its analysis in order to promote wider understanding of innovative market developments, and invites market participants and other stakeholders to submit feedback and any additional information on the following topics: Virtual currency investment products, i.e. collective investment schemes or derivatives such as options and CFDs that have virtual currencies (VCs) as an underlying or invest in VC related businesses and infrastructure; Virtual currency based assets/securities and asset transfers, i.e. financial assets such as shares, funds, etc. that are exclusively traded using virtual currency distributed ledgers (also known as block chains);and The application of the distributed ledger technology to securities/investments, whether inside or outside a virtual currency environment.|
|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
|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.
|02/06/2016||2016/773||Discussion Paper on the Distributed Ledger Technology Applied to Securities Markets||Innovation and Products, Risk Analysis & Economics - Markets Infrastructure Investors||Consultation Paper||PDF
|29/09/2017||70-145-105||Draft Guidelines on non-significant benchmarks||Benchmarks, Guidelines and Technical standards||Consultation Paper||PDF
|24/07/2014||CP/2014/04||Draft Regulatory Technical Standards on risk concentration and intra-group transactions under Article 21a (1a) of the Financial Conglomerates Directive||Joint Committee||Consultation Paper||PDF
|Please send your comments to the EBA and EIOPA using the following links: Respond to the EBA. Respond to EIOPA. The consultation period closes on 24 October 2014.|
|14/03/2013||ESA/2013/007||Possible Framework for the Regulation of the Production and Use of Indices Serving as Benchmarks in Financial and other Contracts||Risk Analysis & Economics - Markets Infrastructure Investors, Joint Committee||Letter||PDF
|27/01/2016||ESA/2016/07||The cross-selling of financial products – ESA request to the European Commission||Joint Committee, MiFID - Investor Protection||Letter||PDF
|10/04/2019||ESMA 50-164-2193||Letter to EC- FinTech action plan- ICT cybersecurity and outsourcing||Innovation and Products||Letter||PDF
|20/08/2019||ESMA50-164-2554||Letter to EC- Joint EBA ESMA response on crypto-assets||Innovation and Products||Letter||PDF
|02/04/2020||ESMA70-151-2823||ESMA Report to the European Commission on Central Clearing Obligations for PSA- No 1||Joint Committee, Post Trading, Supervisory convergence||Consultation Paper||PDF
|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.|
|08/03/2019||JC-2019-17||Joint Committee of ESAs Letter on PRIIPS||Fund Management, Joint Committee||Letter||PDF
|16/10/2019||JC-2019-63||Consultation Paper on amendments to PRIIPs KID||Fund Management, Joint Committee||Consultation Paper||PDF