ESMA LIBRARY

The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
68
DOCUMENTS

REFINE YOUR SEARCH

Sections

Type of document

Your filters
Vacancy X Press Release X Opinion X Decision X Securities Financing Transactions X Audit X Supervisory convergence X Trade Repositories X Joint Committee X
Reset all filters

Pages

Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
04/06/2020 ESMA71-99-1339 ESMA promotes convergence in the supervision of costs in UCITS and AIFs , Press Release PDF
85.27 KB
23/04/2020 JC 2020 41 ESAs consult on Environmental, Social and Governance disclosure rules , Press Release PDF
131.43 KB
09/03/2020 ESMA71-99-1287 ESMA Supervision WP 2020 , , , , , Press Release PDF
130.42 KB
20/12/2019 ESMA71-99-1256 ESMA CRAs TRs thematic fees report , , Press Release PDF
101.41 KB
16/12/2019 ESMA71-99-1266 Press release on joint GLs on cooperation and information exchange , , Press Release PDF
206.03 KB
12/12/2019 ESMA71-99-1263 Press release: ESMA calls for strengthened supervision on suspicious transaction reporting , Press Release PDF
100.61 KB
15/07/2019 ESMA71-99-1181 Press release: ESMA fines Regis-TR S.A. €56,000 for data access failures , Press Release PDF
115.68 KB
01/02/2019 ESMA71-99-1096 ESMA and EU securities regulators MoUs with FCA , , , , , Press Release PDF
80.5 KB
22/06/2018 ESMA71-99-998 European Supervisory Authorities hold its 2018 Consumer Protection Day , Press Release PDF
315.27 KB
30/04/2018 BoA 2018-01 Decision in an appeal by A v ESMA , Decision PDF
392.62 KB
07/02/2018 ESMA71-99-944 ESMA publishes 2018 Supervisory Convergence Work Programme , Press Release PDF
243.98 KB
11/01/2018 ESMA71-99-919 PR on CRA/TR Fees Thematic Report Press Release PDF
192.95 KB
29/11/2017 ESMA71-99-661 Peer Review on MiFID Compliance Function Press Release , , Press Release PDF
149.89 KB
27/10/2017 ESMA71-99-623 Press Release on 2017 Enforcement Priorities , , , Press Release PDF
172.2 KB
26/09/2017 ESMA71-99-599 EBA and ESMA provide guidance to assess the suitability of management body members and key function holders , , , Press Release PDF
243.97 KB

The European Banking Authority (EBA) and the European Securities and Markets Authority (ESMA) have published their joint Guidelines to assess the suitability of members of management bodies and key function holders.

18/07/2017 ESMA71-99-521 ESMA recommends improvements in financial information enforcement , , Press Release PDF
148.06 KB
13/07/2017 ESMA70-154-270 Opinion to support supervisory convergence in the area of secondary markets in the context of the United Kingdom withdrawing from the European Union , , Opinion PDF
181.69 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.

13/07/2017 ESMA35-43-762 Opinion to support supervisory convergence in the area of investment firms in the context of the United Kingdom withdrawing from the European Union , , Opinion PDF
236.23 KB
13/07/2017 ESMA35-45-344 Opinion to support supervisory convergence in the area of investment management in the context of the United Kingdom withdrawing from the European Union , , Opinion PDF
246.6 KB

Pages