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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
20/12/2019 ESMA32-334-150 Report On the use of Alternative Performance Measures and on the compliance with ESMA’s APM Guidelines , Report PDF
800.36 KB
20/12/2019 ESMA71-99-1256 ESMA CRAs TRs thematic fees report , , Press Release PDF
101.41 KB
20/12/2019 ESMA80-196-3218 Follow-up Report on fees charged by CRAs and TRs , , Report PDF
606.45 KB
12/12/2019 ESMA71-99-1263 Press release: ESMA calls for strengthened supervision on suspicious transaction reporting , Press Release PDF
100.61 KB
12/12/2019 ESMA42-111-4916 STOR Peer Review Report , Final Report PDF
1.17 MB
09/12/2019 ESMA70-151-2820 Supervisory measures and Penalties under Articles 4, 9, 10 and 11 of EMIR   , Report PDF
819.71 KB
17/10/2019 ESMA42-111-4895 EMIR data quality peer review , Report PDF
862.01 KB
03/06/2019 ESMA70-156-835 Supervisory Briefing PreTradeTransparency Non-Equity Instruments , Report PDF
148.65 KB
04/02/2019 ESMA20-95-1105 2019 Regulatory Work Programme , , Report PDF
308.68 KB
30/07/2018 ESMA42-111-4479 Peer review on the Guidelines on ETFs and other UCITS issues Final Report PDF
1.11 MB
05/03/2018 ESMA70-145-386 Technical Advice on the evaluation of certain elements of the Short Selling Regulation Final Report PDF
1.72 MB
07/02/2018 ESMA71-99-944 ESMA publishes 2018 Supervisory Convergence Work Programme , Press Release PDF
243.98 KB
07/02/2018 ESMA42-114-540 Supervisory Convergence Work Programme 2018 Report PDF
611.01 KB
29/11/2017 ESMA71-99-661 Peer Review on MiFID Compliance Function Press Release , , Press Release PDF
149.89 KB
29/11/2017 ESMA42-111-4285 Peer review on certain aspects of the compliance function under Mi-FID I , Final Report PDF
1.25 MB
18/07/2017 ESMA71-99-521 ESMA recommends improvements in financial information enforcement , , Press Release PDF
148.06 KB
18/07/2017 ESMA42-111-4138 Peer Review on Guidelines on Enforcement of Financial Information , Report PDF
1.86 MB
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

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