ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
28/09/2015 2015-ESMA-1464 Annex II Annex II- CBA- draft RTS and ITS on MiFID II and MiFIR Final Report PDF
5.07 MB
25/02/2015 2015/494 Best Execution under MiFID , 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.
01/02/2021 ESMA34-39-961 Draft implementing technical standards under the Regulation on cross-border distribution of funds Final Report PDF
446.92 KB
26/05/2016 2016/725 Draft RTS on indirect clearing arrangements under EMIR and MiFIR , , Final Report PDF
740.71 KB
28/09/2020 ESMA35-43-2424 Draft technical standards on the provision of investment services and activities in the Union by third-country firms under MiFID II and MiFIR Final Report PDF
1.23 MB
10/11/2021 ESMA35-42-1183 Draft technical standards under the European crowdfunding service providers for business Regulation , Final Report PDF
1.43 MB
22/11/2011 2011/219 ESMA comment letter on the EU Commission Green Paper- The EU Corporate Governance Framework , Letter PDF
496.17 KB
19/08/2020 ESMA34-32-551 ESMA letter on AIFMD Review Letter PDF
331.6 KB
21/09/2018 ESMA70-156-780 ESMA Letter on EC proposal to endorse RTS 1 amendments Letter PDF
56.42 KB
07/08/2018 ESMA34-32-427 ESMA letter to EIOPA regarding AIFMD Letter PDF
203.59 KB
15/02/2022 ESMA24-436-1152 ESMA response to the Commission consultation on the Listings Act , , Letter PDF
99.52 KB
26/04/2016 2016/648 ESMA response to the Commission Green Paper on retail financial services Letter PDF
197.44 KB
26/05/2021 ESMA22-328-603 ESMA response to the targeted consultation on the functioning of the ESAs Letter PDF
255.74 KB
19/01/2016 Ares(2015)5921711 EU Commission Letter AIFMD Passport Letter PDF
63.78 KB
18/07/2013 Ares(2013)2569526 European Commission letter to ESMA re draft Regulatory Technical Standards on types of AIFMD, Article 4(4) of AIFMD Directive Letter PDF
125.25 KB
On 8 July 2013 ESMA received a letter from the European Commission (EC) in response to its draft regulatory technical standards in its Final report - Draft Regulatory Technical Standards on types of AIFMs (ESMA/2013/413) submitted to the EC on 2 April 2013 for endorsement. According to Article 10(1) sixth subparagraph of Regulation (EU) No 1095/2010, ESMA has 6 weeks starting from 8 July to respond to the EC’s letter.
07/04/2016 JC/2016/21 Final Draft RTS PRIIPs KID Report , Final Report PDF
2.63 MB
26/03/2018 ESMA70-156-354 Final Report Amendments to Commission Delegated Regulation (EU) 2017/587 (RTS 1) Final Report PDF
434.94 KB
21/07/2022 ESMA35-36-2621 Final report EBA-ESMA on SREP guidelines under IFD Final Report PDF
1.43 MB
03/02/2021 JC 2020 66 Final Report following consultation on draft regulatory technical standards to amend the PRIIPs KID , Final Report PDF
1.7 MB
05/06/2020 ESMA35-36-1946 Final Report Guidelines on certain aspects of the MiFID II compliance function requirements , Final Report PDF
395.33 KB

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