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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
19/11/2018 ESMA32-60-403 Video Tutorial on the European Single Electronic Format- Script Reference PDF
166.3 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.

11/03/2013 2013/280 Vacancy notice- Chair of Committee drafting a proxy advising industry Code of Conduct , Reference PDF
102.91 KB
20/07/2022 ESMA50-164-2193 TRV Article_Key Retail Risk Indicators for the EU single market , Reference PDF
428.33 KB
11/02/2016 2016/211 ToR CFSC Reference PDF
142.36 KB
11/02/2016 2016/209 ToR CEMA Reference PDF
128.84 KB
06/11/2017 ESMA50-165-422 The impact of charges on mutual fund returns- correction , , Reference PDF
590.09 KB

ERRATUM - In the original version of this document published on 19 October 2017 in table V.3 on page 4, the values in the last four rows of column five were accidentally misreported. For this reason, ESMA now provides a corrected version, including the corrected values and a footnote pointing to the initial mistake.

ESMA carried out a first analysis on fund performance measures, developing initial metrics to analyse the impact of ongoing fees, one-off charges and inflation on the returns of mutual funds. Key preliminary results for the EU fund industry show: Substantial reduction in net returns available to investors, especially in the retail sector and weakly cost- or price-sensitive investment decisions by retail investors

On average ongoing fees and one-off charges and inflation-reduced returns available to investors by 29% of gross returns between 2013 and 2015. These reductions apply to all market segments, while varying across jurisdictions, asset classes and client types. Relative return reductions range from 11% for passive equity fund shares to 44% for retail fund shares in bond mutual funds. Relative and absolute return reductions for actively managed and retail fund shares tend to exceed those of passively managed and institutional fund shares. Despite the impact of fees and charges on the net outcome to investors, these do not seem to be reflected in investor choices.

01/03/2022 ESMA50-165-2033 The 2020 short selling bans – market impact Reference PDF
282.3 KB
01/07/2022 ESMA41-140-79 Technical standards , Reference XLSX
173.59 KB
10/12/2018 ESMA33-128-585 STS Reporting Instructions Reference PDF
456.26 KB
13/08/2019 ESMA33-128-761 STS notifications cancelled as from 01/01/2019 Regulation 2402/2017 Reference XLSX
63.86 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
30/09/2016 2016/1409 SFTR Tables , Reference XLSX
45.84 KB
08/09/2021 ESMA33-128-760 Securitisations designated as STS as from 01/01/2019 Regulation 2402/2017 Reference XLSX
117.86 KB
19/08/2020 esma65-8-6469 securitisation_disclosure_templates_xml_schema_1.2.0 Reference ZIP
8.18 MB
19/08/2020 esma65-8-6469 securitisation_disclosure_templates_xml_schema_1.1.0 Reference ZIP
8.04 MB
15/09/2020 ESMA65-8-6469 Securitisation Disclosure Templates Reporting Instructions-Dec 2019 Reference PDF
839.83 KB
19/08/2020 ESMA65-8-6469 Securitisation Disclosure Templates Reporting Instructions Reference PDF
1.01 MB
01/02/2019 ESMA33-128-474 Annex 9 Securitisation ANNEX9_UNDERLYING_EXPOSURES–ESOTERIC Reference XLSX
22.62 KB
01/02/2019 ESMA33-128-474 Annex 8 Securitisation ANNEX8_UNDERLYING_EXPOSURES–LEASING Reference XLSX
22.83 KB

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