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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
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.
18/03/2015 2015/592 Automated Trading Guidelines- ESMA peer review among National Competent Authorities Supervisory convergence Final Report PDF
930.33 KB
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.
11/03/2020 ESMA70-156-1434 Compliance table for Guidelines on non-significant benchmarks (ESMA70-145-1209) Benchmarks, Guidelines and Technical standards Compliance table PDF
129.58 KB
13/05/2022 ESMA34-45-1128 Compliance table- Guidelines on performance fees in UCITS and certain types of AIFs Fund Management, Guidelines and Technical standards, Supervisory convergence Compliance table PDF
225.5 KB
17/05/2011 2011/BS/123 Decision of the Board of Supervisors- Appointment of the Securities and Markets Stakeholder Group Board of Supervisors, Securities and Markets Stakeholder Group Decision PDF
171.3 KB
19/12/2011 2011/BS/229 Decision of the European Securities and Markets Authority establishing its Review Panel Board of Supervisors, Corporate Information, Supervisory convergence Decision PDF
35.86 KB		 This decision establishes the Review Panel of ESMA and sets out its mandate.
28/01/2015 2014/SMSG/002 Decision- Rules of procedure of the Securities and Markets Stakeholder Group Securities and Markets Stakeholder Group Decision PDF
131.88 KB
15/04/2021 ESMA80-193-1713 EMIR and SFTR data quality report 2020 Market data, Press Releases, Securities Financing Transactions, Supervisory convergence Final Report PDF
791.94 KB
01/04/2022 ESMA74-47-607 EMIR_and_SFTR_dq_report Market data, Supervisory convergence Final Report PDF
1.53 MB
01/02/2021 ESMA81-393-83 Final Report BMR Advice Fees Benchmarks Final Report PDF
504.55 KB
06/04/2021 ESMA74-362-1853 Final report Draft Guidelines On periodic information to be submitted to ESMA by Trade Repositories Market data, Supervisory convergence, Trade Repositories Final Report PDF
221.11 KB
30/03/2020 ESMA70-151-2919 Final Report EMIR RTS on Colleges for CCPs CCP Directorate, Post Trading, Supervisory convergence Final Report PDF
273.08 KB
02/06/2017 ESMA70-145-81 Final report on draft RTS on cooperation with third countries under BMR Benchmarks Final Report PDF
203.07 KB
18/11/2021 ESMA70-156-4953 Final Report on draft RTS on the clearing and derivative trading obligations in view of the benchmark transition to risk free rates Benchmarks, Post Trading Final Report PDF
948.59 KB
24/09/2021 ESMA81-393-239 Final Report on Guidelines on methodology, oversight function and record keeping under the Benchmarks Regulation Benchmarks Final Report PDF
315.98 KB
20/12/2018 ESMA70-145-1008 Final report on Guidelines on non-significant benchmarks Benchmarks Final Report PDF
673.72 KB
10/11/2016 2016-1560 Final Report on Technical Advice under the Benchmarks Regulation Benchmarks Final Report PDF
943.42 KB
26/03/2021 ESMA43-370-281 Final report_TA on procedural rules for penalties imposed on Benchmark Administrators Benchmarks Final Report PDF
369.64 KB
22/12/2015 2015/1905 MAD Supervisory Practices peer review follow-up Market Abuse, Supervisory convergence Final Report PDF
239.64 KB

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