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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
29/07/2013 JC 2013/01 Final Draft Regulatory Technical Standards Technical Standards PDF
1.17 MB
29/09/2014 2014/1187 Draft Regulatory Technical Standards on major shareholdings and an indicative list of financial instruments subject to notification requirements under the revised Transparency Directive , Technical Standards PDF
810.07 KB
The European Securities and Markets Authority (ESMA) has published its draft Regulatory Technical Standards (RTS) under the revised Transparency Directive relating to the notification of major shareholdings.
23/12/2014 JC/2014/092 Draft RTS on risk concentration and intra-group financial transactions under Financial Conglomerates Directive Technical Standards PDF
819.76 KB
01/07/2015 2015/1005 Questions and Answers: Investment-based crowdfunding: money laundering/terrorist financing Q&A PDF
157.73 KB
25/09/2015 2015/1460 ESMA Final Report on DRAFT RTS on EEAP Technical Standards PDF
1.62 MB
18/02/2016 2015/SMSG/036 SMSG Advice on ESEF , SMSG Advice PDF
109.63 KB
07/04/2016 JC/2016/17 JC Risks and Vulnerabilities Report- Spring 2016 Report PDF
568.47 KB
06/06/2016 2016/907 Economic Report on order duplication and liquidity measurement in EU equity markets Report PDF
1.44 MB
06/06/2016 2016/743 Multi-venue trading increases liquidity in EU equity markets despite duplicate orders , Report PDF
247 KB
04/10/2016 2016/1415 ESMA reporton on securities financing transactions and leverage in the EU , Report PDF
1.94 MB
19/12/2016 2016/JCESA QA Questions and Answers on Big Data Q&A PDF
333.65 KB
21/12/2016 2016/1668 2016-1668 ESMA feedback statement on ESEF , , Report PDF
6.98 MB
07/02/2017 ESMA50-1121423017-285 Report on Distributed Ledger Technology Applied to Securities Markets Report PDF
508.75 KB
07/03/2017 ESMA22-106-140 SMSG advice on the Joint ESMA EBA guidelines on the Assessment of the Suitability , SMSG Advice PDF
150.61 KB

SMSG advice on the Joint ESMA EBA guidelines on the Assessment of the Suitability of Members of the Management Body and Key Function Holders

07/06/2017 ESMA50-158-457 ESMA response to the Commission Consultation Paper on Fintech: A more competitive and innovative financial sector Report PDF
712.26 KB
  1. ESMA welcomes the opportunity to respond to the Commission Consultation paper on Fintech: a more competitive and innovative financial sector (hereafter “the Consultation”).
  2. Fintech and, technological innovation in general, have been the drivers of a number of developments in the financial sector in recent years. Indeed, new forms of services and businesses such as automated advice or crowdfunding have emerged. ESMA sees these developments as a positive evolution as long as they are aimed at improving consumer financial experience and facilitate financial inclusion. ESMA would also want to stress that it adheres to the core principles (technological neutrality, proportionality and market integrity) highlighted by the Commission and agrees that any EU policies aiming to ensure the financial sector takes advantage of cutting-edge technologies, while remaining sound and safe for investors, need to integrate these principles.
  3. In this response, ESMA wishes to share with the Commission some reflections on a number of topics mentioned in the Consultation which appear relevant to ESMA:
    • Artificial intelligence and big data analytics for automated advice and businesses;
    • Crowdfunding;
    • Reg Tech;
    • Outsourcing and cloud computing;
    • Distributed ledger technology;
    • Role of regulation and supervisors; and
    • Role of industry: standards and interoperability
14/06/2017 ESMA50-165-331 ESMA Risk Dashboard 1Q2107 Report PDF
744.43 KB
12/09/2017 ESMA50-165-413 ESMA Risk Dashboard No.3 2017 Report PDF
868.91 KB
05/12/2017 ESMA50-165-498 ESMA Risk Dashboard No 4 2017 Report PDF
976.96 KB
09/02/2018 ESMA20-95-839 Risk Assessment Work Programme 2018 Report PDF
452.74 KB
20/03/2018 ESMA50-165-539 ESMA risk dasbhboard 1, 2018 Report PDF
903.76 KB

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