ESMA LIBRARY

The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
82
DOCUMENTS

REFINE YOUR SEARCH

Sections

Type of document

Your filters
Audit X Brexit X Guidelines and Technical standards X Corporate Finance X MiFID - Investor Protection X Sustainable finance X Market data X Annual Report X Final Report X Report X
Reset all filters

Pages

Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
15/10/2018 ESMA31-62-1114 2017 Report on EEA prospectus activity Final Report PDF
385.45 KB
30/03/2022 ESMA32-63-1249 2021 Corporate reporting enforcement and regulatory activities Annual Report PDF
748.01 KB
17/12/2021 ESMA50-165-2001 ASR on EU Derivatives markets- 2021 , Report PDF
1.92 MB
17/12/2021 ESMA50-165-2004 ASR on EU Securities markets- 2021 , Report PDF
1.2 MB
25/02/2015 2015/494 Best Execution under MiFID , Final Report PDF
761.62 KB
The European Securities and Markets Authority (ESMA) has conducted a peer review on how national regulators (national competent authorities or NCAs) supervise and enforce the MiFID provisions relating to investment firms’ obligation to provide best execution, or obtain the best possible result, for their clients when executing their orders. ESMA found that the level of implementation of best execution provisions, as well as the level of convergence of supervisory practices by NCAs, is relatively low. In order to address this situation a number of improvements were identified, including: • prioritisation of best execution as a key conduct of business supervisory issue; • the allocation of sufficient resources to best execution supervision; and • a more proactive supervisory approach to monitoring compliance with best execution requirements, both desk-based and onsite inspections. The review was conducted on the basis of information provided by 29 NCAs and complemented by on-site visits to the NCAs of France, Liechtenstein, Luxembourg, Malta, Poland and Spain.
22/10/2021 AFM/1 Consumer testing AFM report Report PDF
2.75 MB
22/10/2021 SGH/1 Consumer testing SGH report Report PDF
2.08 MB
26/05/2016 2016/725 Draft RTS on indirect clearing arrangements under EMIR and MiFIR , , Final Report PDF
740.71 KB
28/09/2020 ESMA35-43-2424 Draft technical standards on the provision of investment services and activities in the Union by third-country firms under MiFID II and MiFIR Final Report PDF
1.23 MB
10/11/2021 ESMA35-42-1183 Draft technical standards under the European crowdfunding service providers for business Regulation , Final Report PDF
1.43 MB
03/07/2017 ESMA31-62-746 EEA prospectus activity in 2016 , Report PDF
475.66 KB
15/04/2021 ESMA80-193-1713 EMIR and SFTR data quality report 2020 , , , Final Report PDF
791.94 KB
01/04/2022 ESMA74-47-607 EMIR_and_SFTR_dq_report , Final Report PDF
1.53 MB
26/03/2021 ESMA74-362-1917 ESMA advice on the criteria for DRSP Final Report PDF
344.96 KB
10/01/2019 ESMA50-165-731 ESMA annual statistical report on performance and costs of retail investment products in the EU , Annual Report PDF
3.43 MB
06/04/2020 ESMA 50-165-1098 ESMA annual statistical report on performance and costs of retail investment products in the EU- 2020 , , Report PDF
4.08 MB
14/04/2021 ESMA 50-165-1710 ESMA annual statistical report on performance and costs of retail investment products in the EU- 2021 , , Report PDF
2.54 MB
01/09/2021 ESMA 50-165-1838 ESMA report on trends, risks and vulnerabilities no.2 2021- statistical annex , Report PDF
1.72 MB
03/06/2021 ESMA50-165-1761 ESMA Risk Dashboard No. 1 2021 , Report PDF
819.04 KB
11/01/2017 ESMA42-1643088512-2962 ESMA42-1643088512-2962 Follow-up Report to the Peer Review on Best Execution , , Report PDF
774.17 KB

Pages