ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
01/02/2021 ESMA81-393-83 Final Report BMR Advice Fees Benchmarks Final Report PDF
504.55 KB
01/04/2020 ESMA70-156-2311 MiFID II Review Report on position limits and position management MiFID - Secondary Markets, Supervisory convergence Final Report PDF
591.78 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
12/12/2019 ESMA42-111-4916 STOR Peer Review Report Market Abuse, Supervisory convergence Final Report PDF
1.17 MB
08/01/2019 ESMA33-128-557 Final report on draft technical standards on cooperation, exchange of information and notification between competent authorities and ESMA, the EBA and EIOPA under the Securitisation Regulation Securitisation Final Report PDF
609.03 KB
20/12/2018 ESMA70-145-1008 Final report on Guidelines on non-significant benchmarks Benchmarks Final Report PDF
673.72 KB
13/11/2018 ESMA33-128-488 Final Report Repositories Technical Standards Securitisation Final Report PDF
1.55 MB
22/08/2018 ESMA33-128-474 Final Report on Technical standards on disclosure requirements under the Securitisation Regulation Securitisation Final Report PDF
3.12 MB
30/07/2018 ESMA42-111-4479 Peer review on the Guidelines on ETFs and other UCITS issues Supervisory convergence Final Report PDF
1.11 MB
29/11/2017 ESMA42-111-4285 Peer review on certain aspects of the compliance function under Mi-FID I MiFID - Investor Protection, Supervisory convergence Final Report PDF
1.25 MB
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
10/11/2016 2016-1560 Final Report on Technical Advice under the Benchmarks Regulation Benchmarks Final Report PDF
943.42 KB
30/06/2016 2016/1055 Peer Review Report on Prospectus Approval Process Prospectus, Supervisory convergence Final Report PDF
1.23 MB
07/04/2016 2016/585 Suitability Peer Review- Annex MiFID - Investor Protection, Supervisory convergence Final Report PDF
987.81 KB
07/04/2016 2016/584 Suitability Peer Review- Final Report MiFID - Investor Protection, Supervisory convergence Final Report PDF
459.35 KB
22/12/2015 2015/1905 MAD Supervisory Practices peer review follow-up Market Abuse, Supervisory convergence Final Report PDF
239.64 KB
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.
11/12/2014 2014/1485 MiFID – Conduct of Business, fair, clear and not misleading information Supervisory convergence Final Report PDF
614.16 KB		 The European Securities and Markets Authority (ESMA) has conducted a peer review of how national regulators (national competent authorities or NCAs) supervise MiFID conduct of business rules on providing fair, clear and not misleading information to clients. The peer review focused on NCAs’ organisation, supervisory approaches, monitoring and complaints handling in relation to information and marketing communications under MiFID. The Report found that there was overall a high degree of compliance amongst NCAs with the good practices identified in these key areas. However, a variety of approaches were observed, leading to different intensity of supervision. A number of areas for improvement were identified. They include: • enhanced use of on-site inspections and thematic reviews; • a specific focus on conduct of business issues in firms’ risk assessments; and • greater efforts to detect failings by firms in a timely manner. The review was conducted on the basis of information provided by NCAs in a self-assessment questionnaire and complemented by on-site visits to the NCAs of Cyprus, the Czech Republic, Germany, Italy, Portugal, and the United Kingdom.
01/07/2013 2013/806 Supervisory Practices under MAD- Mapping Report Market Abuse, Supervisory convergence Final Report PDF
315.44 KB		 ESMA's Mapping Report on Supervisory Practices under MAD sets out the situation in each Member State as regards their implementation of the various requirements of the Market Abuse Directive.

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