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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
09/01/2019 ESMA50-157-1391 Advice on Initial Coin Offerings and Crypto-Assets Report PDF
882.48 KB
29/06/2020 ESMA50-164-3475 Coverletter- ESMA response to EC consultation on a new Digital Finance Strategy for Europe Letter PDF
87.97 KB
14/05/2019 FISMA.C.3/IK/TL/Ares(2019)2120576 EC Art 38 MAR mandate , Letter PDF
187.62 KB
13/12/2019 ESMA70-156-1823 ESMA 2019 report on the application of AMPs , Report PDF
1.4 MB
22/11/2011 2011/219 ESMA comment letter on the EU Commission Green Paper- The EU Corporate Governance Framework , Letter PDF
496.17 KB
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
29/09/2020 ESMA WP-2020-3 ESMA working paper on DVC mechanism and impact on EU equity markets , Report PDF
535.76 KB
29/06/2020 ESMA50-164-3463 ESMA’s response to the European Commission’s Consultation on a New Digital Finance Strategy for Europe Report PDF
380.54 KB
13/07/2016 2016/1130 Final Report on the Market Abuse Regulation Guidelines , Report PDF
852.59 KB
07/01/2019 JC 2018 74 Joint ESA report on Regulatory sandboxes and innovation hubs , Report PDF
478.79 KB
10/04/2019 ESMA 50-164-2193 Letter to EC- FinTech action plan- ICT cybersecurity and outsourcing Letter PDF
58.38 KB
20/08/2019 ESMA50-164-2554 Letter to EC- Joint EBA ESMA response on crypto-assets Letter PDF
93.63 KB
26/07/2016 2016/1164 Letter to the Commissioner Dombrovskis on MAR ITS , Letter PDF
205.33 KB
02/07/2019 ESMA70-154-1193 Preliminary findings on multiple withholding tax reclaim schemes Report PDF
611.48 KB
11/04/2019 ESMA31-62-780 Q&A on Prospectus Related Topics , , , , , , Q&A PDF
957.9 KB
29/03/2019 ESMA70-145-111 Q&A on the Market Abuse Regulation , Q&A PDF
400.21 KB

The purpose of this document is to promote common supervisory approaches and practices in the application of MAR and its implementing measures. It does this by providing responses to questions posed by the general public and competent authorities in relation to the practical application of the MAR framework

The content of this document is aimed at competent authorities to ensure that in their supervisory activities and their actions are converging along the lines of the responses adopted by ESMA and at helping issuers, investors and other market participants by providing clarity on the content of the market abuse rules, rather than creating an extra layer of requirements.

11/04/2019 ESMA31-67-127 Question and answers on Transparency Directive (TD) , , , , Q&A PDF
354.59 KB
01/07/2015 2015/1005 Questions and Answers: Investment-based crowdfunding: money laundering/terrorist financing Q&A PDF
157.73 KB
16/01/2019 ESMA70-145-1184 Report Application Accepted Market Practices , Report PDF
1.68 MB
05/04/2017 ESMA31-54-435 Report on shareholder identification and communication systems , Report PDF
1.09 MB