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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
03/08/2012 OJ/26/06/2012 - tendes specs Tender specifications- Annex VII- Financial porposal Reference PDF
47.23 KB
16/08/2012 QA 84 - 87 OJ/26/06/2012-PROC/2012/004 Q&A 84-87 regarding tender ESMA registers Reference PDF
82.32 KB
22/03/2013 EPV 21/03/13 Profile of Steven Maijoor in the European Voice Reference PDF
646.82 KB
This copyright of this profile, published in this week's European Voice, belongs to the European Voice publication, and has been reproduced with their kind permission.  The article can be accessed on their website: http://www.europeanvoice.com/article/imported/security-guard/76719.aspx
16/10/2013 2013/LCC/039 ESMA Specific Privacy Notice – Public procurement , Reference PDF
119.46 KB
29/11/2013 2013/998 DA Retningslinjer for modellen til aftalememorandum om høring, samarbejde og informationsudveksling vedrørende tilsyn med AIFMD-enheder , Reference PDF
241.03 KB
29/11/2013 2013/998 SL Smernice o vzorcu memoranduma glede posvetovanja, sodelovanja in izmenjave informacij v zvezi z nadzorom subjektov iz direktive UAIS , Reference PDF
246.77 KB
08/08/2014 2014/869 nl Richtsnoeren voor rapportageverplichtingen uit hoofde van artikel 3, lid 3, onder d), en artikel 24, leden 1, 2 en 4, van de AIFMD Reference PDF
740.75 KB
08/08/2014 2014/869 ES Directrices sobre las obligaciones de información de los artículos 3(3)(d) y 24(1), (2y (4) de la DGFIA Reference PDF
727.22 KB
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.

03/09/2015 2012/236 Annual list of contractors- 2011 Reference PDF
143.08 KB
03/09/2015 2013/890 Annual list of contractors- 2012 Reference PDF
164.99 KB
03/09/2015 2014/713 Annual list of contractors- 2013 Reference PDF
185.3 KB
03/09/2015 2015/931 Annual list of contractors- 2014 Reference PDF
237.36 KB
03/09/2015 Procurement conditions Procurement- General conditions with ESMA Reference PDF
317.7 KB
25/09/2015 2015/1463 reply form ESEF CBA Form to reply ESEF CBA , , Reference DOCX
872.33 KB
28/09/2015 2015/1468 Trading venue briefing , Reference PDF
304.63 KB
28/09/2015 2015/1469 2015-1469- Investment Firms briefing , Reference PDF
314.38 KB
28/09/2015 2015/1470 2015-1470- Non-financials briefing , Reference PDF
307.12 KB
17/12/2015 2015/1885 ESMA Briefing Note on ESEF CP , Reference PDF
138.49 KB
31/03/2016 2016/408 Decision to adopt a supervisory measure taking the form of a public notice and to impose a fine in accordance with Statement of Findings in accordance with Articles 64(5), 65, 67 and 73 of Regulation (EC) No 648/2012 EMIR Decision PDF
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Decision to adopt a supervisory measure taking the form of a public notice and to impose a fine in accordance with Statement of Findings in accordance with Articles 64(5), 65, 67 and 73 of Regulation (EC) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories

Public notice regarding negligent breach by DTCC Derivatives Repository Ltd of its legal obligation to ensure immediate access for regulators to data reported under EMIR

DTCC Derivatives Repository Ltd (‘DDRL’) is a trade repository registered in the European Union and is part of the DTCC group which includes a number of companies providing post-trading services to the global financial services industry. DDRL was registered by ESMA as a trade repository under Regulation (EU) No 648/2012 on OTC derivatives, central counterparties and trade repositories (‘EMIR’) on 7 November 2013. ESMA has responsibilities for the supervision and enforcement of provisions under EMIR concerning DDRL and other trade repositories registered in the EU.

In May 2014, ESMA’s supervisory team became aware of delays in providing regulators with access to data reported to DDRL under EMIR. Following further examination, the supervisory team formed the view that there were serious indications of the possible existence of facts liable to constitute one or more of the infringements listed in EMIR. The matter was accordingly referred to an independent investigation officer (the ‘IIO’). The IIO considered the evidence referred to him and conducted further investigations, before submitting his findings to ESMA’s Board of Supervisors (the ‘ESMA Board’).

Based on the findings of the IIO and the evidence put before it, the ESMA Board found on 23 March 2016 that an examination of the facts showed that DDRL had committed the following infringement under EMIR and had done so negligently. DDRL committed an  infringement of EMIR by not allowing regulators and supervisors direct and immediate access to the details of derivatives contracts they need to fulfil their responsibilities and mandates.

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