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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
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.
18/03/2015 2015/592 Automated Trading Guidelines- ESMA peer review among National Competent Authorities Final Report PDF
930.33 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.
08/03/2021 ESMA70-151-2536 compliance table Guidelines APC Measures , Compliance table PDF
141.15 KB
20/10/2021 ESMA34-45-1128 Compliance table- Guidelines on performance fees in UCITS and certain types of AIFs , , Compliance table PDF
223.2 KB
15/04/2021 ESMA80-193-1713 EMIR and SFTR data quality report 2020 , , , Final Report PDF
791.94 KB
25/05/2021 ESMA74-362-1986 Final report AND Guidelines on calculation of positions in SFTs by Trade Repositories , , Final Report PDF
629.81 KB
06/04/2021 ESMA74-362-1853 Final report Draft Guidelines On periodic information to be submitted to ESMA by Trade Repositories , , Final Report PDF
221.11 KB
30/03/2020 ESMA70-151-2919 Final Report EMIR RTS on Colleges for CCPs , , Final Report PDF
273.08 KB
08/01/2019 ESMA33-128-557 Final report on draft technical standards on cooperation, exchange of information and notification between competent authorities and ESMA, the EBA and EIOPA under the Securitisation Regulation Final Report PDF
609.03 KB
03/05/2019 ESMA35-43-1737 Final report on integrating sustainability risks and factors in the MIFID II , , Final Report PDF
371.73 KB
12/10/2021 ESMA82-402-683 Final Report on STS notification for synthetic securitisations Final Report PDF
795.09 KB
31/03/2020 ESMA43-370-103 Final report on TA on EMIR 2.2 CCP fines , , , Final Report PDF
478.11 KB
22/08/2018 ESMA33-128-474 Final Report on Technical standards on disclosure requirements under the Securitisation Regulation Final Report PDF
3.12 MB
13/11/2018 ESMA33-128-488 Final Report Repositories Technical Standards Final Report PDF
1.55 MB
12/07/2021 ESMA74-362-1978 Final report Technical Advice to EC on simplification and harmonisation of fees to TRs under EMIR and SFTR , , , Final Report PDF
278.42 KB
06/01/2020 ESMA70-151-2703 Final Report- Guidelines on Reporting Under SFTR Final Report PDF
1.38 MB
29/03/2021 ESMA70-151-2838 Guidelines on Reporting Under SFTR Final Report PDF
3.21 MB
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22/12/2015 2015/1905 MAD Supervisory Practices peer review follow-up , Final Report PDF
239.64 KB
01/04/2020 ESMA70-156-2311 MiFID II Review Report on position limits and position management , Final Report PDF
591.78 KB