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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
15/10/2018 ESMA31-62-1114 2017 Report on EEA prospectus activity Final Report PDF
385.45 KB
26/04/2012 2012/270 Actual use of sanctioning powers under MAD Final Report PDF
1.55 MB
The report provides a comparison of the use of administrative sanctioning powers across 29 EEA Member States for 2008-2010.  The results of the report will provide input to the legislative process on the new market abuse regime.
18/03/2015 2015/592 Automated Trading Guidelines- ESMA peer review among National Competent Authorities Final Report PDF
930.33 KB
25/02/2015 2015/494 Best Execution under MiFID , 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.
14/09/2011 2011/288 Call for evidence- Empty voting , , Consultation Paper PDF
81.13 KB
24/08/2021 ESMA74-362-2048 Consultation paper and draft RTS management body DRSPs Consultation Paper PDF
294.51 KB
13/07/2021 ESMA74-362-1893 Consultation Paper Guidelines EMIR REFIT Consultation Paper PDF
3.11 MB
23/10/2020 ESMA70-151-3023 Consultation Paper on Article 15 and 49 EMIR Consultation Paper PDF
581.02 KB
18/11/2021 ESMA70-151-3396 Consultation Paper on draft Guidelines on Methodology to value each contract prior to termination Consultation Paper PDF
424.68 KB
18/11/2021 ESMA91-372-1495 Consultation Paper on draft Guidelines on the application of the circumstances under which a CCP is deemed to be failing or likely to fail Consultation Paper PDF
394.3 KB
18/11/2021 ESMA70-151-3428 Consultation Paper on draft RTS on Resolution Colleges Consultation Paper PDF
481.64 KB
18/11/2021 ESMA70-151-3239 Consultation Paper on Draft RTS on safeguards for clients and indirect clients (Article 63(2) of the CCPRRR) Consultation Paper PDF
399.21 KB
18/11/2021 ESMA91-372-1469 Consultation Paper on draft RTS on the content of CCP resolution plans Consultation Paper PDF
638.75 KB
18/11/2021 ESMA70-151-3384 Consultation Paper on draft RTS on Valuation of CCPs assets and liabilities in resolution Consultation Paper PDF
825.54 KB
27/05/2021 ESMA82-402-200 Consultation Paper on draft TS on content and format of the STS notification for on-balance sheet securitisations Consultation Paper PDF
929.82 KB
27/05/2019 ESMA70-151-1985 Consultation paper on Guidelines for reporting under Articles 4 and 12 SFTR Consultation Paper PDF
1.32 MB
13/07/2018 ESMA31-62-996 Consultation Paper on Guidelines on Risk Factors Consultation Paper PDF
833.24 KB
23/10/2020 ESMA70-151-3076 Consultation Paper on Guidelines under Article 21 of EMIR Consultation Paper PDF
409.12 KB
13/07/2018 ESMA31-62-962 Consultation Paper on minimum information content for prospectus exemption Consultation Paper PDF
1.6 MB
28/05/2021 ESMA74-362-1941 Consultation Paper on the Guidelines on transfer of data between Trade Repositories under EMIR and SFTR , , Consultation Paper PDF
658.69 KB

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