ESMA LIBRARY
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Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 01/12/2015 | JC/2015/079 | 2015 list of identified Financial Conglomerates | Joint Committee, MiFID - Investor Protection | Reference | PDF 146.29 KB |
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| 10/10/2014 | JC/2014/74 | 2015 Work Programme of the Joint Committee of the European Supervisory Authorities | Joint Committee | Reference | PDF 241.51 KB |
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| 11/02/2016 | 2016/203 | 2016 Supervisory Convergence Work Programme | Corporate Information, Supervisory convergence | Reference | PDF 340.61 KB |
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. |
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| 05/10/2015 | JC/2015/055 | 2016 Work Programme of the Joint Committee of the European Supervisory Authorities | Joint Committee | Reference | PDF 249.68 KB |
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| 05/10/2015 | JC/2015/055 | 2016 Work Programme of the Joint Committee of the European Supervisory Authorities | Joint Committee | Reference | PDF 249.68 KB |
The Joint Committee of the European Supervisory Authorities in 2016 will continue to prioritise consumer protection – in particular the work on Packaged Retail and Insurance-based Investment Products (PRIIPs), and cross-sectoral risk analysis. Moreover, it will proceed with the joint regulatory work already underway in areas such as anti-money laundering, financial conglomerates and securitisation while being prepared to address any new developments in the European regulatory field if necessary. | |||
| 09/02/2017 | ESMA42-397158525-448 | 2017 Supervisory Convergence Work Programme | Supervisory convergence | Reference | PDF 540.81 KB |
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| 25/08/2021 | Joint Committee | 2021 Work Programme of the Joint Committee of the European Supervisory Authorities | Joint Committee | Reference | PDF 166.23 KB |
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| 01/10/2021 | JC 2021 34 | 2022 Work Programme of the Joint Committee of the European Supervisory Authorities | Joint Committee | Reference | PDF 648.99 KB |
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| 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. | |||
| 18/01/2021 | JC 2020 85 | Annex to draft ITS on IGT and RC reporting templates for conglomerates | Joint Committee | Reference | PDF 1.23 MB |
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| 14/10/2021 | ESMA24-436-15 | Annex to the Opening Statement ECON Hearing 14 October 2021 | Board of Supervisors, Brexit, CCP Directorate, Corporate Information, Credit Rating Agencies, Innovation and Products, Joint Committee, Speeches, Supervisory convergence, Sustainable finance | Speech | PDF 415.73 KB |
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| 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 253.1 KB |
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| 09/03/2016 | ESAs/2016/22 | Annexes to RTS on Risk Mitigation LegisWrite | Joint Committee | Final Report | PDF 297.23 KB |
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| 18/03/2015 | 2015/592 | Automated Trading Guidelines- ESMA peer review among National Competent Authorities | Supervisory convergence | Final Report | PDF 930.33 KB |
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| 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. | |||
| 13/02/2019 | ESMA71-319-91 | Brexit – the regulatory challenges | Brexit, Fund Management, MiFID - Secondary Markets, Post Trading, Speeches, Supervisory convergence | Speech | PDF 175.3 KB |
Steven Maijoor keynote at the European Financial Forum in Dublin |
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| 10/10/2019 | ESMA71-319-144 | Building the EU Capital Markets Union while fostering global financial markets- EU-Asia Financial Dialogue/ASIFMA Conference | International cooperation, Speeches, Supervisory convergence, Sustainable finance | Speech | PDF 135.51 KB |
EU-Asia Financial Dialogue/ASIFMA Conference, Tokyo 10 October |
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| 02/08/2021 | CFA PRIIPS 27/07/2021 | Call for advice to the Joint Committee of the European Supervisory Authorities regarding the PRIIPs Regulation | Fund Management, Joint Committee | Reference | PDF 258.73 KB |
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| 19/11/2014 | JC/14/089 | Call for interest Expert Group PRIIPs | Fund Management, Joint Committee | Reference | PDF 65.48 KB |
The Joint Committee of the three European Supervisory Authorities (EBA, EIOPA and ESMA) launched today a call for expressions of interest with the aim of identifying members of a Consultative Expert Group (CEG), who will advise and provide technical input to the Joint Committee’s Sub-group on Key Information Documents for Packaged Retail and Insurance-based Investment Products (PRIIPs).This CEG will be made up of a maximum of eighteen members, who will represent market participants, retail investors, academics and independent experts.The mandate of the CEG will be for a period of one year.A list of candidates who meet the criteria set out in this call will be drawn and the final selection of the members will be done in consultation with the Executive Directors of the three European Supervisory Authorities.Application procedure and closing dateRelevant stakeholders meeting the required selection criteria and wishing to apply for a position on the CEG are invited to submit, in English: a completed application form (see Annex 1 of this call), and a detailed curriculum vitae (CV), preferably in the EU CV format - the link to the template for this is: http://europass.cedefop.europa.eu/en/documents/curriculum-vitae/templates-instructions Unclear or incomplete applications will not be considered.Applications must be submitted by email using the application form by no later than 23:59 GMT on 15 December 2014 to the following email addresses: timothy.shakesby@eiopa.europa.eu | |||
| 02/04/2020 | ESMA 70-152-3050 | CCSPSA consultation_Response Form | Joint Committee, Post Trading, Supervisory convergence | Reference | DOCX 774.63 KB |