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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
18/01/2011 2011/26 Summary Report on the mapping of contingency measures Supervisory convergence Final Report PDF
93.63 KB
07/07/2011 2011/194 Report- Mapping of the Transparency Directive Supervisory convergence Final Report PDF
1.15 MB		 Report - Mapping of the Transparency Directive 
26/04/2012 2012/270 Actual use of sanctioning powers under MAD Supervisory convergence 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.
24/05/2012 2012/300 Prospectus Directive – Good Practices in the approval process Supervisory convergence Final Report PDF
467.38 KB		 The European Securities and Markets Authority (ESMA) has published today “Prospectus Directive – Good Practices in the approval process“,  a peer review report on the application of regulatory good practices by national supervisory authorities - competent authorities (CA)  when approving investment prospectuses.The review was conducted using good practice criteria that ESMA developed on selected areas of the Prospectus Directive dealing with the approval process for investment prospectuses.  The prospectuses provide investors with easy to understand and relevant information on investment products.  Peer review reports on national regulators’ procedures contribute to ESMA’s objective of fostering supervisory convergence and achieving a level playing field between jurisdictions.
29/06/2012 2012/415 Call for Evidence on Empty Voting Transparency, Corporate Disclosure CESR Document PDF
275.66 KB		 ESMA launched a Call for Evidence on Empty Voting in September 2011 to analyse the potential issues and concerns raised by the practice of empty voting and to examine whether there was a possible need for further action. An analysis of the responses received to the consultation has led ESMA to conclude that there is insufficient evidence to justify any regulatory action at the European level at present.
03/01/2013 2012/875 Report to the European Parliament, the Council and the Commission on the budgetary impli-cations of Regulation (EU) No 236/2012 on short selling and certain aspects of credit default swaps Short Selling Final Report PDF
532.88 KB
30/01/2013 2013/159 Q&A on Implementation of the Regulation on short selling and certain aspects of credit default swaps (2nd update) Short Selling Q&A PDF
873.32 KB
01/02/2013 2013/158 Guidelines on the exemption for market making activities and primary market operations under Regulation (EU) 236/2012 of the European Parliament and the Council on short selling and certain aspects of Credit Default Swaps Short Selling Final Report PDF
501.8 KB
20/03/2013 2013/318 Feedback Statement on proposed amendments to the ESMA update of the CESR recommendations for the consistent implementation of the Prospectuses Regulation regarding mineral companies Prospectus, Corporate Disclosure, Transparency CESR Document PDF
265.19 KB
15/04/2013 ESMA/2013/476 Peer Review–Money Market Fund Guidelines Supervisory convergence Final Report PDF
763.46 KB
01/07/2013 2013/805 Supervisory Practices under MAD- Peer review report and Good Practices Market Abuse, Supervisory convergence Final Report PDF
1.17 MB		 ESMA's peer review of the supervisory practices EEA national competent authorities (NCAs) covers how national authorities enforce the requirements of the Market Abuse Directive (MAD).  The Directive deals with the prevention of the dissemination of misleading information, the breach of reporting obligations and market abuse.
01/07/2013 2013/806 Supervisory Practices under MAD- Mapping Report Market Abuse, Supervisory convergence Final Report PDF
315.44 KB		 ESMA's Mapping Report on Supervisory Practices under MAD sets out the situation in each Member State as regards their implementation of the various requirements of the Market Abuse Directive.
11/12/2014 2014/1485 MiFID – Conduct of Business, fair, clear and not misleading information Supervisory convergence Final Report PDF
614.16 KB		 The European Securities and Markets Authority (ESMA) has conducted a peer review of how national regulators (national competent authorities or NCAs) supervise MiFID conduct of business rules on providing fair, clear and not misleading information to clients. The peer review focused on NCAs’ organisation, supervisory approaches, monitoring and complaints handling in relation to information and marketing communications under MiFID. The Report found that there was overall a high degree of compliance amongst NCAs with the good practices identified in these key areas. However, a variety of approaches were observed, leading to different intensity of supervision. A number of areas for improvement were identified. They include: • enhanced use of on-site inspections and thematic reviews; • a specific focus on conduct of business issues in firms’ risk assessments; and • greater efforts to detect failings by firms in a timely manner. The review was conducted on the basis of information provided by NCAs in a self-assessment questionnaire and complemented by on-site visits to the NCAs of Cyprus, the Czech Republic, Germany, Italy, Portugal, and the United Kingdom.
25/02/2015 2015/494 Best Execution under MiFID MiFID - Investor Protection, Supervisory convergence 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.
18/03/2015 2015/592 Automated Trading Guidelines- ESMA peer review among National Competent Authorities Supervisory convergence Final Report PDF
930.33 KB
22/12/2015 2015/1905 MAD Supervisory Practices peer review follow-up Market Abuse, Supervisory convergence Final Report PDF
239.64 KB
07/04/2016 2016/584 Suitability Peer Review- Final Report MiFID - Investor Protection, Supervisory convergence Final Report PDF
459.35 KB
07/04/2016 2016/585 Suitability Peer Review- Annex MiFID - Investor Protection, Supervisory convergence Final Report PDF
987.81 KB
30/06/2016 2016/1055 Peer Review Report on Prospectus Approval Process Prospectus, Supervisory convergence Final Report PDF
1.23 MB
10/11/2016 2016-1560 Final Report on Technical Advice under the Benchmarks Regulation Benchmarks Final Report PDF
943.42 KB

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