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Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
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03/10/2013 | 2013/1400 | 20 September 2013 meeting of the Principals of the OTC Derivative Regulators Group | Post Trading, Press Releases | Press Release | PDF 86.63 KB |
Principals and senior representatives of authorities responsible for the regulation of the over-the-counter (OTC) derivatives markets in Australia, Brazil, the European Union, Hong Kong, Japan, Ontario, Québec, Singapore, Switzerland and the United States met on 20 September 2013 at the headquarters of the European Securities and Markets Authority (ESMA) in Paris. The Principals and representatives include: · Steven Maijoor, Chair of the European Securities and Markets Authority (ESMA); · Greg Medcraft, Chairman of the Australian Securities and Investments Commission; · Leonardo Pereira, Chairman of the Comissão de Valores Mobiliários (Brazil); · Patrick Pearson, Acting Director at the European Commission; · Ashley Alder, Chief Executive Officer of the Hong Kong Securities and Futures Commission; · Masamichi Kono, Vice-Commissioner of the Japan Financial Services Agency; · Howard Wetston, Chair of the Ontario Securities Commission; · Anne Héritier Lachat, Chair of the Swiss Financial Market Supervisory Authority; · Gary Gensler, Chairman of the United States Commodity Futures Trading Commission; · Mary Jo White, Chair of the United States Securities and Exchange Commission; · Chuan Teck Lee, Assistant Managing Director at the Monetary Authority of Singapore; · Louis Morisset, President and CEO, l’Autorité des marchés financiers du Québec. The Principals discussed generally: the application of clearing requirements to foreign branches and affiliates; risk mitigation techniques for non-centrally cleared derivatives transactions, such as timely confirmation, portfolio reconciliation, portfolio compression, valuation and dispute resolution; the need to co-operate in the implementation of internationally agreed standards on margin for non-centrally cleared derivatives transactions; co-operation on equivalence and substituted compliance assessments among the relevant authorities; and co-operation between authorities in the supervision of registered foreign entities; The Principals agreed to meet again in February to continue the discussion of the above points. |
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21/12/2016 | 2016/1682 | 2016-1682 Press Release on Feedback Statement on ESEF | Corporate Disclosure, European Single Electronic Format, Press Releases, Transparency | Press Release | PDF 225.03 KB |
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13/07/2020 | ESMA71-99-1352 | 3rd EU-wide CCP stress test results PR | CCP Directorate, Post Trading, Press Releases | Press Release | PDF 151.99 KB |
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18/12/2014 | 2014/1560 | Advice- Investment-based crowdfunding | Innovation and Products | Final Report | PDF 482.2 KB |
Crowdfunding is a means of raising finance for projects from ‘the crowd’ often by means of an internet-based platform through which project owners ‘pitch’ their idea to potential backers, who are typically not professional investors. It takes many forms, not all of which involve the potential for a financial return. ESMA’s focus is on crowdfunding which involves investment, as distinct from donation, non-monetary reward or loan agreement.Crowdfunding is relatively young and business models are evolving. EU financial services rules were not designed with the industry in mind. Within investment-based crowdfunding a range of different operational structures are used so it is not straightforward to map crowdfunding platforms’ activities to those regulated under EU legislation. Member States and NCAs have been working out how to treat crowdfunding, with some dealing with issues case-by-case, some seeking to clarify how crowdfunding fits into existing rules and others introducing specific requirements.To assist NCAs and market participants, and to promote regulatory and supervisory convergence, ESMA has assessed typical investment-based crowdfunding business models and how they could evolve, risks typically involved for project owners, investors and the platforms themselves and the likely components of an appropriate regulatory regime. ESMA then prepared a detailed analysis of how the typical business models map across to the existing EU legislation, set out in sections 1 to 6 of this document. | |||
28/01/2016 | 2016/167 | Anneli Tuominen appointed Vice Chair of ESMA | Corporate Information, Press Releases | Press Release | PDF 139.35 KB |
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17/04/2020 | ESMA71-99-1313 | Benchmarks MoU- 30 Mar (MAS ESMA) | Benchmarks, International cooperation, Press Releases | Press Release | PDF 112.32 KB |
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04/01/2021 | ESMA71-99-1498 | Brexit: ESMA withdraws the registrations of six UK-based credit rating agencies and four trade repositories | Brexit, Credit Rating Agencies, Press Releases, Trade Repositories | Press Release | PDF 94.63 KB |
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28/02/2008 | 08-099 | CESR Executive summary to the report on administrative measures and sanctions as well as the criminal sanctions available in Member States under the Market Abuse Directive | Market Abuse | Final Report | PDF 874.1 KB |
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07/01/2021 | ESMA71-99-1505 | CFTC and ESMA Sign Enhanced MOU Related to Certain Recognized Central Counterparties | CCP Directorate, Press Releases | Press Release | PDF 75.21 KB |
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27/10/2015 | 2015/1606 | Common enforcement priorities for 2015 financial statements | IFRS Supervisory Convergence, Press Releases | Press Release | PDF 138.19 KB |
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28/09/2015 | 2015/1455 CBA | Cost analysis for Final Report on MAR technical standards | Market Abuse | Final Report | PDF 2.59 MB |
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30/03/2021 | ESMA71-99-1622 | CRA Enforcement Case Moodys March 2021 | Board of Supervisors, Credit Rating Agencies, Press Releases | Press Release | PDF 134.39 KB |
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23/07/2018 | ESMA71-99-1017 | CRA fine- ESMA fines five banks | Credit Rating Agencies, Press Releases | Press Release | PDF 223.54 KB |
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09/01/2019 | ESMA71-99-1084 | Crypto-assets need common EU-wide approach to ensure investor protection | Innovation and Products, Press Releases | Press Release | PDF 148.74 KB |
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11/06/2020 | ESMA71-99-1342 | Decision Short Selling Reporting Renewal Statement | COVID-19, Market Integrity, Press Releases, Short Selling | Press Release | PDF 83.55 KB |
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26/09/2017 | ESMA71-99-599 | EBA and ESMA provide guidance to assess the suitability of management body members and key function holders | Guidelines and Technical standards, Joint Committee, MiFID - Investor Protection, Press Releases | Press Release | PDF 243.97 KB |
The European Banking Authority (EBA) and the European Securities and Markets Authority (ESMA) have published their joint Guidelines to assess the suitability of members of management bodies and key function holders. |
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24/07/2014 | 2014/61 | EBA, ESMA and EIOPA consult on technical standards for financial conglomerates risk concentration and intra-group transactions | Joint Committee, Press Releases | Press Release | PDF 79.27 KB |
The Joint Committee of the three European Supervisory Authorities (ESAs - EBA, ESMA and EIOPA) launched today a consultation on draft Regulatory Technical Standards (RTS) on risk concentration and intra-group transactions within financial conglomerates. The technical standards aim at enhancing supervisory consistency in the application of the Financial Conglomerates Directive (FICOD). The consultation runs until 24 October 2014. The objective of the draft RTS is to clarify which risk concentrations and intra-group transactions within a financial conglomerate should be considered as significant. In addition, the RTS provide some supervisory measures for coordinators and other relevant competent authorities when identifying types of significant risk concentration and intra-group transactions, their associated thresholds and reports, where appropriate. The consultation paper is available on the websites of the three ESAs: EBA, ESMA and EIOPA. Comments to this consultation paper can be sent to the Joint Committee. Legal background The three ESAs have developed these RTS in accordance with Article 21a (1a) of Directive 2002/87/EC (FICOD), which mandates the three ESAs, through the Joint Committee, to develop RTS to clarify the definitions on risk concentration and intra-group transactions provided in Article 2 of the FICOD and to coordinate the provisions laid down in Articles 7 and 8 and Annex II. | |||
11/04/2012 | JC/2012/30 | EBA, ESMA and EIOPA publish two reports on Money Laundering | Joint Committee, Press Releases | Press Release | PDF 69.92 KB |
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15/04/2021 | ESMA80-193-1713 | EMIR and SFTR data quality report 2020 | Market data, Press Releases, Securities Financing Transactions, Supervisory convergence | Final Report | PDF 791.94 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 |