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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 ESMA71-99-1256 ESMA CRAs TRs thematic fees report , , Press Release PDF
101.41 KB
20/12/2019 ESMA71-100-1792 CRAs and TRs Follow Up Fees Factsheet , , Reference PDF
122.09 KB
12/12/2019 ESMA71-99-1263 Press release: ESMA calls for strengthened supervision on suspicious transaction reporting , Press Release PDF
100.61 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
07/02/2018 ESMA71-99-944 ESMA publishes 2018 Supervisory Convergence Work Programme , Press Release PDF
243.98 KB
29/11/2017 ESMA71-99-661 Peer Review on MiFID Compliance Function Press Release , , Press Release PDF
149.89 KB
18/07/2017 ESMA71-99-521 ESMA recommends improvements in financial information enforcement , , Press Release PDF
148.06 KB
13/07/2017 ESMA71-99-526 ESMA issues sector-specific principles on relocations from the UK to the EU27 , , Press Release PDF
157.73 KB

The European Securities and Markets Authority (ESMA) has published three Opinions setting out sector-specific principles in the areas of investment firms, investment management and secondary markets, aimed at fostering consistency in authorisation, supervision and enforcement related to the relocation of entities, activities and functions from the United Kingdom .

The opinions, building on the general opinion issued in May, are practical tools to support supervisory convergence in the context of requests from UK financial market participants seeking to relocate to the EU27. They are addressed to national competent authorities (NCAs) and are relevant for market participants considering relocating.

They provide guidance to NCAs aimed at ensuring a consistent interpretation of the requirements relating to authorisation, supervision and enforcement in order to avoid the development of regulatory and supervisory arbitrage risks.

31/05/2017 ESMA71-99-469 ESMA issues principles on supervisory approach to relocations from the UK , , Press Release PDF
143.31 KB

The European Securities and Markets Authority (ESMA) has published an Opinion setting out general principles aimed at fostering consistency in authorisation, supervision and enforcement related to the relocation of entities, activities and functions from the United Kingdom. The opinion is addressed to national competent authorities (NCAs), in particular of the 27 Member States that will remain in the EU (EU27).

The opinion is a practical tool to support supervisory convergence in the context of increased requests from UK financial market participants seeking to relocate to the EU27. It covers all legislation referred to in the ESMA Regulation, in particular the AIFMD, the UCITS Directive, MiFID I and MiFID II.

09/02/2017 ESMA71-844457584-345 ESMA publishes 2017 Supervisory Convergence Work Programme , Press Release PDF
151.67 KB

The European Securities and Markets Authority (ESMA) has published its 2017 Supervisory Convergence Work Programme (SCWP), which details the activities and tasks it will carry out to promote sound, efficient and consistent supervision across the European Union.

ESMA and national competent authorities (NCAs) will focus their supervisory convergence work on the following priorities:

  • the implementation of MiFID II/MiFIR and MAR including the underlying IT projects;
  • improving the quality to data collected by NCAs;
  • investor protection in the context of cross-border provision of services; and
  • convergence in the supervision of European Union CCPs.

These priorities have been developed taking into account different factors, including the market environment, legislative and regulatory developments, and NCAs’ supervisory priorities.

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
30/06/2016 2016/1047 Press Release Prospectus Peer Review , Press Release PDF
188.52 KB
15/04/2016 2016/632 Principles- Stakeholder engagement in peer reviews Reference PDF
205.26 KB
07/04/2016 2016/582 ESMA finds room for improvement in national supervision of investment advice to retail clients , , Press Release PDF
107.49 KB
04/04/2016 2016/229 ToR SCSC Reference PDF
93.7 KB