REFINE YOUR SEARCH
Type of document
|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|13/07/2020||ESMA71-99-1352||3rd EU-wide CCP stress test results PR||CCP Directorate, Post Trading, Press Releases||Press Release||PDF
|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
|10/02/2021||ESMA34-45-1128||Compliance table- Guidelines on performance fees in UCITS and certain types of AIFs||Fund Management, Guidelines and Technical standards, Supervisory convergence||Compliance table||PDF
|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
|26/07/2021||SFDR EC Q&A||EC Q&A on sustainability-related disclosures||Joint Committee, Sustainable finance||Q&A||PDF
|23/04/2020||JC 2020 41||ESAs consult on Environmental, Social and Governance disclosure rules||Joint Committee, Sustainable finance||Press Release||PDF
|15/03/2018||15-3-18||ESAs weigh benefits and risks of Big Data||Innovation and Products, Press Releases||Press Release||PDF
|07/06/2021||ESMA71-99-1687||ESMA 4th CCP ST Press_Release 7 June||CCP Directorate||Press Release||PDF
|23/09/2020||ESMA71-99-1387||ESMA appoints Chair and independent members of the CCP Supervisory Committee||CCP Directorate, Press Releases||Press Release||PDF
|02/06/2016||2016/743||ESMA assesses usefulness of distributed ledger technologies||Innovation and Products, Press Releases, Risk Analysis & Economics - Markets Infrastructure Investors||Press Release||PDF
|12/01/2017||ESMA71-844457584-322||ESMA calls for consistent application of MiFIR product intervention powers||Innovation and Products||Press Release||PDF
|03/06/2020||ESMA71-99-1334||ESMA consults on cloud outsourcing guidelines||Innovation and Products||Press Release||PDF
|20/12/2019||ESMA71-99-1256||ESMA CRAs TRs thematic fees report||Press Releases, Supervisory convergence, Trade Repositories||Press Release||PDF
|24/05/2012||2012/330||ESMA finds high level of consistency in EU national regulators’ practices for the approval of investment prospectuses||Press Releases, Supervisory convergence||Press Release||PDF
|The European Securities and Markets Authority (ESMA) has published today “Prospectus Directive – Good Practices in the approval process“, a peer review report on the application of regulatory good practices by national supervisory authorities - competent authorities (CA) when approving investment prospectuses.The review was conducted using good practice criteria that ESMA developed on selected areas of the Prospectus Directive dealing with the approval process for investment prospectuses. The prospectuses provide investors with easy to understand and relevant information on investment products. Peer review reports on national regulators’ procedures contribute to ESMA’s objective of fostering supervisory convergence and achieving a level playing field between jurisdictions.|
|07/04/2016||2016/582||ESMA finds room for improvement in national supervision of investment advice to retail clients||MiFID - Investor Protection, Press Releases, Supervisory convergence||Press Release||PDF
|15/04/2021||ESMA71-99-1651||ESMA highlights need for increased efforts on EMIR and SFTR data quality||Market data, Press Releases, Securities Financing Transactions, Supervisory convergence||Press Release||PDF
|26/04/2012||2012/272||ESMA identifies divergence in Member States’ use of sanctions under the Market Abuse Directive||Press Releases, Supervisory convergence||Press Release||PDF
|The European Securities and Markets Authority (ESMA) has published a report on the use of administrative and criminal sanctions by European Union (EU) national regulators under the Market Abuse Directive (MAD). The report provides a comparison of the use of administrative sanctioning powers across 29 EEA Member States for 2008-2010. The results of the report will provide input to the legislative process on the new market abuse regime.|
|27/03/2014||2014/334||ESMA issues good practices for structured retail product governance||MiFID - Investor Protection, Innovation and Products||Press Release||PDF
|The European Securities and Markets Authority (ESMA) has published an opinion on structured retail products, setting out good practices for firms when manufacturing and distributing these products.|
|31/05/2017||ESMA71-99-469||ESMA issues principles on supervisory approach to relocations from the UK||Brexit, Press Releases, Supervisory convergence||Press Release||PDF
The European Securities and Markets Authority (ESMA) has published an Opinion setting out general principles aimed at fostering consistency in authorisation, supervision and enforcement related to the relocation of entities, activities and functions from the United Kingdom. The opinion is addressed to national competent authorities (NCAs), in particular of the 27 Member States that will remain in the EU (EU27).
The opinion is a practical tool to support supervisory convergence in the context of increased requests from UK financial market participants seeking to relocate to the EU27. It covers all legislation referred to in the ESMA Regulation, in particular the AIFMD, the UCITS Directive, MiFID I and MiFID II.
|13/07/2017||ESMA71-99-526||ESMA issues sector-specific principles on relocations from the UK to the EU27||Brexit, Press Releases, Supervisory convergence||Press Release||PDF
The European Securities and Markets Authority (ESMA) has published three Opinions setting out sector-specific principles in the areas of investment firms, investment management and secondary markets, aimed at fostering consistency in authorisation, supervision and enforcement related to the relocation of entities, activities and functions from the United Kingdom .
The opinions, building on the general opinion issued in May, are practical tools to support supervisory convergence in the context of requests from UK financial market participants seeking to relocate to the EU27. They are addressed to national competent authorities (NCAs) and are relevant for market participants considering relocating.
They provide guidance to NCAs aimed at ensuring a consistent interpretation of the requirements relating to authorisation, supervision and enforcement in order to avoid the development of regulatory and supervisory arbitrage risks.