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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|29/06/2010||IASC 23/06/10 Restoy||"Accounting: Convergence, Governance and Regulation"- Speech given by Fernando Restoy at the IFRS Conference organised by the IASC Foundation||Speeches||Speech||PDF
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|27/03/2013||2013/428||"EMIR: A Fair Price for Safety and Transparency"- speech by Steven Maijoor, ESMA Chair, at the EMIR conference in the Hague||Speeches||Speech||PDF
|11/03/2013||2013/279||"Regulation of systemically important financial institutions and of the shadow banking system"- speech by Steven Maijoor, Chair, at the CDU/CSU congress in Berlin||Corporate Information, Speeches||Speech||PDF
|06/07/2011||2011/203||"The European Fund Industry Paradigm: Combining Long Term Investment Horizons and Risk Profiles" Opening speech by Steven Maijoor, Chair of ESMA, at the Paris EUROPLACE Financial Forum- 6 July 2011||Speeches||Speech||PDF
|12/07/2011||ESMA/2011/11/07||"The new European Supervisory Markets Authority: helping enhance the resilience of financial markets"- speech by Michel Barnier, EU Commissioner, at the ESMA inauguration||Speeches||Speech||PDF
|11/02/2016||2016/203||2016 Supervisory Convergence Work Programme||Corporate Information, Supervisory convergence||Reference||PDF
The European Securities and Markets Authority’s (ESMA) Supervisory Convergence Work Programme for 2016 (2016 SCWP) supplements ESMA’s Annual Work Programme for 2016 (ESMA/2015/1475) by further elaborating the nature and focus of the work ESMA will carry out in order to promote supervisory convergence and how that will contribute to implementing ESMA’s Strategic Orientation for 2016-2020 (ESMA/2015/935).
The 2016 SCWP provides an overview and explanation of the steps ESMA will take in 2016 to promote sound, efficient and consistent supervision in the EU. It sets out priority areas and how they have been identified and sets them in the context of the wider work programme and environment.
Implementation of the 2016 SCWP will be monitored in the course of 2016 and depending on developments during the year, priorities might be re-adjusted. It will also be used to inform ESMA’s Annual Report and its supervisory convergence work programme for future years which will be risk-based.
|09/02/2017||ESMA42-397158525-448||2017 Supervisory Convergence Work Programme||Supervisory convergence||Reference||PDF
|04/02/2019||ESMA20-95-1105||2019 Regulatory Work Programme||Board of Supervisors, Planning reporting budget, Supervisory convergence||Report||PDF
|04/01/2011||10-1541||3L3 Committees Joint Letter on the European Commission’s Green Paper on Audit: Lessons learnt from the Crisis||Joint Committee, Audit||Letter||PDF
|04/01/2011||10-1541 Annex 2||3L3 Committees Joint Letter on the European Commission’s Green Paper on Audit: Lessons learnt from the Crisis- CEBS annex||Joint Committee, Audit||Letter||PDF
|04/01/2011||10-1541 Annex 3||3L3 Committees Joint Letter on the European Commission’s Green Paper on Audit: Lessons learnt from the Crisis- CEIOPS annex||Joint Committee, Audit||Letter||PDF
|04/01/2011||10-1541 Annex 1||3L3 Committees Joint Letter on the European Commission’s Green Paper on Audit: Lessons learnt from the Crisis- CESR annex||Joint Committee, Audit||Letter||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.|
|27/02/2018||ESMA71-319-70||Afore Consulting’s Second Annual FinTech and Digitalisation Conference: Regulation at the European Level and Beyond – Stanhope Hotel Brussels||Innovation and Products, Speeches||Speech||PDF
|23/09/2016||2016/1392||Annex to ECON Hearing Statement by Steven Maijoor, ESMA Chair||Speeches||Reference||PDF
The Annex contains key facts and figures about ESMA's activity over the last 12 months.
|14/09/2015||2015/1381||Annex to the Statement by Steven Maijoor ESAs Joint Committee- ECON Hearing 14 September 2015||Speeches, Joint Committee||Reference||PDF
|05/11/2014||2014/1333||Asset management – The regulatory challenges ahead- Steven Maijoor at EFAMA Investment Management Forum||Speeches||Speech||PDF
|Steven Maijoor, ESMA Chair, delivered the keynote speech at EFAMA's Investment Management Forum in Brussels. His speech focused on the regulatory challenges ahead for the asset management sector. "It is very good to be back again at this important event. Before coming here today I had the chance to surf the EFAMA website and it struck me that your website is as overrun as ESMA’s website is with the many well-known European acronyms that have become part of our standard vocabulary in financial markets. This observation also made it clear to me that the topics that keep both our organisations busy are very similar. Given the current activities of ESMA, you probably expect me to structure my contribution according to these acronyms and inform you on all of our current regulatory work that is relevant for the asset management sector. However, I would like to start first with an economic perspective on asset management, but let me assure you that later in my contribution I will not disappoint you and will refer to AIFMD, MIFID, UCITS and PRIIPs."|
|18/03/2015||2015/592||Automated Trading Guidelines- ESMA peer review among National Competent Authorities||Supervisory convergence||Final Report||PDF
|19/11/2019||ESMA71-319-154||Banking and the MiFID II review||MiFID - Investor Protection, MiFID - Secondary Markets, Speeches||Speech||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.|