ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
06/12/2019 ESMA70-1861941480-56 Q&A on MiFIR data reporting MiFID - Secondary Markets, Supervisory convergence Q&A PDF
1.02 MB
04/12/2019 ESMA34-32-352 Q&A on the Application of the AIFMD Fund Management, Supervisory convergence Q&A PDF
500.53 KB
04/12/2019 ESMA35-43-349 Q&As on MiFID II and MiFIR investor protection topics MiFID - Investor Protection, Supervisory convergence Q&A PDF
1017.84 KB
03/12/2019 ESMA70-708036281-2 Questions and Answers on CSDR Post Trading, Supervisory convergence Q&A PDF
553.25 KB
03/12/2019 ESMA70-145-114 Q&A on the Benchmarks Regulation (BMR) Benchmarks, Supervisory convergence Q&A PDF
513.51 KB
11/04/2019 ESMA31-67-127 Question and answers on Transparency Directive (TD) Brexit, Corporate Disclosure, Corporate Finance, Supervisory convergence, Transparency Q&A PDF
354.59 KB
11/04/2019 ESMA31-62-780 Q&A on Prospectus Related Topics Brexit, Corporate Disclosure, Corporate Finance, Corporate Governance, Corporate Information, Prospectus, Supervisory convergence Q&A PDF
957.9 KB
30/07/2018 ESMA42-111-4479 Peer review on the Guidelines on ETFs and other UCITS issues Supervisory convergence Final Report PDF
1.11 MB
07/02/2018 ESMA71-99-944 ESMA publishes 2018 Supervisory Convergence Work Programme Press Releases, Supervisory convergence Press Release PDF
243.98 KB
29/11/2017 ESMA71-99-661 Peer Review on MiFID Compliance Function Press Release MiFID - Investor Protection, Press Releases, Supervisory convergence 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 MiFID - Investor Protection, Supervisory convergence Final Report PDF
1.25 MB
18/07/2017 ESMA71-99-521 ESMA recommends improvements in financial information enforcement IFRS Supervisory Convergence, Press Releases, Supervisory convergence 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 Brexit, Press Releases, Supervisory convergence 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 Brexit, Press Releases, Supervisory convergence 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 Releases, Supervisory convergence 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.
30/06/2016 2016/1047 Press Release Prospectus Peer Review Prospectus, Supervisory convergence Press Release PDF
188.52 KB
30/06/2016 2016/1055 Peer Review Report on Prospectus Approval Process Prospectus, Supervisory convergence Final Report PDF
1.23 MB
07/04/2016 2016/582 ESMA finds room for improvement in national supervision of investment advice to retail clients MiFID - Investor Protection, Press Releases, Supervisory convergence Press Release PDF
107.49 KB
07/04/2016 2016/585 Suitability Peer Review- Annex MiFID - Investor Protection, Supervisory convergence Final Report PDF
987.81 KB
07/04/2016 2016/584 Suitability Peer Review- Final Report MiFID - Investor Protection, Supervisory convergence Final Report PDF
459.35 KB

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