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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||Corporate Finance||Final Report||PDF
|30/03/2022||ESMA32-63-1249||2021 Corporate reporting enforcement and regulatory activities||Corporate Finance||Annual Report||PDF
|26/04/2012||2012/270||Actual use of sanctioning powers under MAD||Supervisory convergence||Final Report||PDF
|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||Supervisory convergence||Final Report||PDF
|25/02/2015||2015/494||Best Execution under MiFID||MiFID - Investor Protection, Supervisory convergence||Final Report||PDF
|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.|
|26/05/2016||2016/725||Draft RTS on indirect clearing arrangements under EMIR and MiFIR||Guidelines and Technical standards, Post Trading, MiFID - Secondary Markets||Final Report||PDF
|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
|01/04/2022||ESMA74-47-607||EMIR_and_SFTR_dq_report||Market data, Supervisory convergence||Final Report||PDF
|09/03/2020||ESMA80-199-332||ESMA Supervision- Annual Report 2019 and Work Programme 2020||Benchmarks, Credit Rating Agencies, Securities Financing Transactions, Securitisation, Trade Repositories||Annual Report||PDF
|25/05/2021||ESMA74-362-1986||Final report AND Guidelines on calculation of positions in SFTs by Trade Repositories||Market data, Post Trading, Securities Financing Transactions||Final Report||PDF
|06/04/2021||ESMA74-362-1853||Final report Draft Guidelines On periodic information to be submitted to ESMA by Trade Repositories||Market data, Supervisory convergence, Trade Repositories||Final Report||PDF
|30/03/2020||ESMA70-151-2919||Final Report EMIR RTS on Colleges for CCPs||CCP Directorate, Post Trading, Supervisory convergence||Final Report||PDF
|05/06/2020||ESMA35-36-1946||Final Report Guidelines on certain aspects of the MiFID II compliance function requirements||Guidelines and Technical standards, MiFID - Investor Protection||Final Report||PDF
|06/07/2012||2012/387||Final report Guidelines on certain aspects of the MiFID suitability requirements||Guidelines and Technical standards, MiFID - Investor Protection||Final Report||PDF
|28/03/2022||ESMA70-445-38||Final Report on Emission allowances and associated derivatives||MiFID - Secondary Markets, Sustainable finance||Final Report||PDF
|31/03/2022||ESMA35-36-2537||Final Report on Guidelines on certain aspects of the MiFID II remuneration requirements||Guidelines and Technical standards, MiFID - Investor Protection||Final Report||PDF
|03/05/2019||ESMA35-43-1737||Final report on integrating sustainability risks and factors in the MIFID II||Audit, MiFID - Investor Protection, Sustainable finance||Final Report||PDF
|03/05/2019||ESMA34-45-688||Final report on integrating sustainability risks and factors in the UCITS Directive and the AIFMD||Fund Management, Sustainable finance||Final Report||PDF
|30/09/2016||2016/1412||Final Report on MAR Guidelines on commodity derivatives||Guidelines and Technical standards, Market Abuse, Market Integrity||Final Report||PDF
Article 7(5) of MAR provides that the European Securities and Markets Authority (ESMA) shall issue guidelines to establish a non-exhaustive indicative list of information which is reasonably expected or is required to be disclosed in accordance with legal or regulatory provisions in Union or national law, market rules, contract, practice or custom, on the relevant commodity derivatives markets or spot markets as referred to in Article 7(1)(b) of MAR. This final report follows the Consultation Paper (CP) issued on March 2016.
Section 2 contains information on the background and mandate, while Section 3 sets out ESMA’s feedback to the CP responses in relation to the scope of the guidelines, the financial instruments and products covered by the examples of information relating directly and indirectly to commodity derivatives and information directly relating to a spot market contract. It also indicates whether and where ESMA has changed the guidelines following the consultation.
Annex I lists questions raised in the CP. Annex 2 provides the legislative mandate on the basis of which ESMA is issuing these guidelines. Annex 3 sets out ESMA’s view on the costs and benefits associated with these guidelines. Annex 4 contains the text of the guidelines.
The guidelines in Annex 4 will be translated into the official languages of the European Union and published on the ESMA’s website. Within 2 months of the issuance of the translations, each national competent authority will have to confirm whether it complies or intends to comply with those guidelines. In the event that a national competent authority does not comply or does not intend to comply, it will have to inform ESMA, stating its reasons. ESMA will publish the fact that a national competent authority does not comply or does not intend to comply with those guidelines.
|22/10/2021||JC 2021 50||Final report on taxonomy-related product disclosure RTS||Joint Committee, Sustainable finance||Final Report||PDF