ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
23/09/2014 2014/1164 Annex Annex to the Statement by Steven Maijoor, Chair of ESMA to the ECON hearing, 23 September 2014 Corporate Information Final Report PDF
503.01 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.
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 MiFID - Investor Protection Final Report PDF
1.23 MB
10/11/2021 ESMA35-42-1183 Draft technical standards under the European crowdfunding service providers for business Regulation Crowdfunding, MiFID - Investor Protection Final Report PDF
1.43 MB
14/05/2019 FISMA.C.3/IK/TL/Ares(2019)2120576 EC Art 38 MAR mandate Market Abuse, Market Integrity Letter PDF
187.62 KB
14/03/2022 ESMA32-61-494 CL to EFRAG on ED SFA EFRAG’s due process on the IASB’s Exposure Draft Supplier Finance Arrangements Corporate Information Letter PDF
190.14 KB
22/11/2011 2011/219 ESMA comment letter on the EU Commission Green Paper- The EU Corporate Governance Framework Corporate Disclosure, Corporate Governance Letter PDF
496.17 KB
21/05/2015 2015/855 ESMA letter to the Commissioner Hill- ESMA Response to EC Green Paper on CMU Corporate Information Letter PDF
52.37 KB
15/02/2022 ESMA24-436-1152 ESMA response to the Commission consultation on the Listings Act Market Abuse, MiFID - Investor Protection, Prospectus Letter PDF
99.52 KB
21/05/2015 2015/856 ESMA response to the Commission Green Paper on Building a Capital Markets Union Corporate Information Letter PDF
348.14 KB
26/04/2016 2016/648 ESMA response to the Commission Green Paper on retail financial services MiFID - Investor Protection Letter PDF
197.44 KB
21/05/2015 2015/858 ESMA response to the European Commission consultation on “An EU framework for simple, transparent and standardised securitisation” Corporate Information Letter PDF
245.42 KB
06/03/2015 2015/422 ESMA's response to the consultation on IOSCO Corporate Information Letter PDF
27.24 KB
16/05/2022 ESMA91-372-2067 Final Report Draft Guidelines on Valuation prior to Termination CCP Directorate Final Report PDF
678.08 KB
26/07/2016 2016/1171 Final Report Draft Implementing Technical Standards on sanctions and measures under MAR Market Abuse, Market Integrity Final Report PDF
929.78 KB
16/05/2022 ESMA91-372-2069 Final Report Draft RTS on Resolution Colleges CCP Directorate Final Report PDF
987.29 KB
16/05/2022 ESMA91-372-2065 Final Report Draft RTS on Safeguards clients and indirect clients PUBLIC CCP Directorate Final Report PDF
453.16 KB
16/05/2022 ESMA91-372-2068 Final Report Draft RTS on the Content of Resolution Plans CCP Directorate Final Report PDF
728.74 KB
16/05/2022 ESMA91-372-2066 Final Report Draft RTS on Valuation and Independent Valuer CCP Directorate Final Report PDF
1.14 MB
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

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