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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
25/08/2014 JC/2014/43 lt Vertybinių popierių (ESMA) ir bankų (EBI) sektorių skundų nagrinėjimo gairės , Reference PDF
153.6 KB

The European Securities and Markets Authority (ESMA) and the European Banking Authority (EBA) published today their Joint Committee final Report on guidelines for handling consumer complaints in the securities and banking sectors. The document aims to increase market confidence and for the benefit of consumers and firms alike it will ensure a harmonised approach to handling complaints for all 28 EU Member States and across all financial services sectors.The final report published today is part of the efforts of the European Supervisory Authorities to bring further supervisory convergence across the securities and banking sectors. It was developed on the basis of the existing complaints-handling guidelines established by EIOPA (the European Insurance and Occupational Pensions Authority) for the insurance sector. The report was launched for a public consultation last year and this final version takes into consideration the feedback received.ESMA and the EBA consider that these guidelines will ensure a consistent approach to complaints-handling across the EU. Consumers can purchase financial services and products in the investment, banking and insurance sectors across the entire EU Single Market and these guidelines will allow them to refer to a single set of complaints-handling arrangements. EU consumers will therefore be able to rely on the same approach irrespective of what type of product they have purchased and where they have purchased it.In addition to strengthening consumer protection -a key statutory objective for ESMA and for the EBA-, the guidelines will also allow firms, some of which sell products from more than one sector across the EU, to streamline and standardise their own complaints-handling arrangements. National regulators too will be able to supervise the same harmonised requirements across all sectors of financial services in their own jurisdictions.The guidelines will be translated into the official languages of the European Union (EU) and they will become applicable two months after the date of publication of their translations.

04/01/2021 EU-UKFCA MoU EU-UK FCA MoU on consultation, cooperation and exchange of information , Reference PDF
219.12 KB
30/09/2021 ESMA74-362-893 QAs on SFTR data reporting , , Q&A PDF
356.79 KB
06/01/2020 ESMA74-362-388 LEI statement SFTR Reference PDF
105.88 KB
28/05/2021 esma74-362-2009 Response_form_Response_form_-_Consultation Paper on the Guidelines on Transfer of Data , , Reference DOCX
776.32 KB
29/03/2021 ESMA74-362-1937 response form- Technical Advice on simplification TR fees under SFTR and EMIR , Reference DOCX
757.95 KB
02/10/2017 ESMA71-99-608 Annex (Template for the Assessment of Collective Suitability) , Reference XLSX
72.7 KB
03/11/2020 ESMA71-99-1423 QA Fast Track Peer Review- Wirecard , , Q&A PDF
248.14 KB
27/05/2019 ESMA70-151-2371 Response form to consultation on Guidelines for reporting under Articles 4 and 12 SFTR Reference DOCX
757.3 KB
27/05/2019 ESMA70-151-1019 Consolidated SFTR_Validation_Rules Reference XLSX
120.19 KB
02/12/2021 ESMA42-646012687-331 ESMA Guidelines , Reference XLSX
63.89 KB
02/12/2021 ESMA42-110-812 Notifications of Compliance with Guidelines – Overview Table Reference XLSX
125.46 KB
30/11/2021 ESMA41-140-79 Technical standards , Reference XLSX
169.44 KB
11/02/2019 ESMA35-43-1493 MiFID II supervisory briefing on the use of third-country branches by EU firms , , Reference PDF
469.29 KB
19/11/2021 ESMA35-42-1305 ESCPR- Miscellaneous reporting to ESMA , Reference PDF
283.67 KB
19/11/2021 ESMA35-42-1088 Q&A on the European crowdfunding service providers for business Regulation Q&A PDF
176.89 KB
26/03/2021 ESMA35-36-2201 response form Response form to CP on draft technical standards under the ECSP Regulation Reference DOCX
773.05 KB
27/03/2018 ESMA33-128-212 reply form Reply form- Consultation Paper TA Fees Securitisation Repositories Reference DOCX
766.76 KB
27/03/2018 ESMA33-128-109 reply form Reply form- Consultation Paper Securitisation Repositories Application Reference DOCX
767.02 KB
06/11/2020 ESMA32-65-293 Application form for CFSC CWG , Reference DOCX
35.57 KB