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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
10/01/2020 ESMA71-102-173 ESMA Q&As- list of questions currently under development Reference XLSX
84.79 KB
20/12/2019 ESMA71-100-1792 CRAs and TRs Follow Up Fees Factsheet , , Reference PDF
122.09 KB
11/02/2019 ESMA35-43-1493 MiFID II supervisory briefing on the use of third-country branches by EU firms , , Reference PDF
469.29 KB
06/02/2019 ESMA42-114-647 ESMA's Supervisory Convergence Work Programme 2019 , Reference PDF
334.85 KB
20/07/2018 ESMA42-111-4661 ESMA Peer Review Methodology Reference PDF
366.49 KB

This document replaces the previous version of the Review Panel Methodology

18/05/2018 ESMA42-113-769 SCSC Terms of Reference Reference PDF
153.42 KB
09/02/2017 ESMA42-397158525-448 2017 Supervisory Convergence Work Programme Reference PDF
540.81 KB
05/01/2017 ESMA71-1154262120-155 Methodology for Mandatory Peer Reviews in relation to CCPs’ authorisation and supervision under EMIR , Reference PDF
334.98 KB
15/04/2016 2016/632 Principles- Stakeholder engagement in peer reviews Reference PDF
205.26 KB
04/04/2016 2016/229 ToR SCSC Reference PDF
93.7 KB
11/02/2016 2016/203 2016 Supervisory Convergence Work Programme , Reference PDF
340.61 KB

The European Securities and Markets Authority’s (ESMA) Supervisory Convergence Work Programme for 2016 (2016 SCWP) supplements ESMA’s Annual Work Programme for 2016 (ESMA/2015/1475) by further elaborating the nature and focus of the work ESMA will carry out in order to promote supervisory convergence and how that will contribute to implementing ESMA’s Strategic Orientation for 2016-2020 (ESMA/2015/935).

The 2016 SCWP provides an overview and explanation of the steps ESMA will take in 2016 to promote sound, efficient and consistent supervision in the EU.  It sets out priority areas and how they have been identified and sets them in the context of the wider work programme and environment.

Implementation of the 2016 SCWP will be monitored in the course of 2016 and depending on developments during the year, priorities might be re-adjusted. It will also be used to inform ESMA’s Annual Report and its supervisory convergence work programme for future years which will be risk-based.

25/11/2013 2013/1709 Review Panel Methodology Reference PDF
98.29 KB
30/12/2010 09-172d Protocol on the Operation of CESR MiFID Database Reference PDF
127.16 KB
26/11/2010 10-1466 Call for expressions of interest regarding the setting up of ESMA’s Securities and Markets Stakeholder Group Reference PDF
101.99 KB
19/11/2010 10-1415 Summary of responses from investment firms and execution venues to CESR’s 2009 Best Execution Questionnaire (Sections 1-4) Reference PDF
346.24 KB
17/11/2010 10-212b Mandate for the IT management and governance group of CESR Reference PDF
156.14 KB
27/10/2010 10-1175a Data on Prospectuses approved and passported in the EU from January 2010 to June 2010 Reference PDF
77.3 KB
06/10/2010 10-1259 Supervisory notice- College of Supervisors announced for the Japan Credit Rating Agency Limited Reference PDF
55.8 KB
22/06/2010 10-006 Mandate for the Committee for Economic and Markets Analysis (CEMA) Reference PDF
100.83 KB
31/05/2010 AMP Italy Accepted Market Practics: Liquidity Enhancement Agreements and Purchase of own shares to set up a shares warehouse position (Italy) Reference PDF
151.52 KB

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