ESMA LIBRARY

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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
04/02/2019 ESMA20-95-1105 2019 Regulatory Work Programme , , Report PDF
308.68 KB
30/03/2022 ESMA32-63-1249 2021 Corporate reporting enforcement and regulatory activities Annual Report PDF
748.01 KB
26/04/2012 2012/270 Actual use of sanctioning powers under MAD Final Report PDF
1.55 MB
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.
14/10/2021 ESMA24-436-15 Annex to the Opening Statement ECON Hearing 14 October 2021 , , , , , , , , , Speech PDF
415.73 KB
18/03/2015 2015/592 Automated Trading Guidelines- ESMA peer review among National Competent Authorities Final Report PDF
930.33 KB
19/11/2019 ESMA71-319-154 Banking and the MiFID II review , , Speech PDF
135.75 KB
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.
13/02/2019 ESMA71-319-91 Brexit – the regulatory challenges , , , , , Speech PDF
175.3 KB

Steven Maijoor keynote at the European Financial Forum in Dublin

10/10/2019 ESMA71-319-144 Building the EU Capital Markets Union while fostering global financial markets- EU-Asia Financial Dialogue/ASIFMA Conference , , , Speech PDF
135.51 KB

EU-Asia Financial Dialogue/ASIFMA Conference, Tokyo 10 October

11/04/2017 ESMA31-68-153 Closing Keynote CMU Mid Term Review Public Hearing- Steven Maijoor , Speech PDF
154.17 KB
21/03/2018 ESMA71-99-964 CMU, Brexit and ESA review – What’s next? Steven Maijoor BVI Keynote , , Speech PDF
329.97 KB
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
17/10/2019 ESMA42-111-4895 EMIR data quality peer review , Report PDF
862.01 KB

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