ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
19/11/2004 04-614 Work plan for future work on MiFID Reference PDF
53.83 KB
25/08/2014 JC/2014/43 lt Vertybinių popierių (ESMA) ir bankų (EBI) sektorių skundų nagrinėjimo gairės , Reference PDF
153.6 KB

The European Securities and Markets Authority (ESMA) and the European Banking Authority (EBA) published today their Joint Committee final Report on guidelines for handling consumer complaints in the securities and banking sectors. The document aims to increase market confidence and for the benefit of consumers and firms alike it will ensure a harmonised approach to handling complaints for all 28 EU Member States and across all financial services sectors.The final report published today is part of the efforts of the European Supervisory Authorities to bring further supervisory convergence across the securities and banking sectors. It was developed on the basis of the existing complaints-handling guidelines established by EIOPA (the European Insurance and Occupational Pensions Authority) for the insurance sector. The report was launched for a public consultation last year and this final version takes into consideration the feedback received.ESMA and the EBA consider that these guidelines will ensure a consistent approach to complaints-handling across the EU. Consumers can purchase financial services and products in the investment, banking and insurance sectors across the entire EU Single Market and these guidelines will allow them to refer to a single set of complaints-handling arrangements. EU consumers will therefore be able to rely on the same approach irrespective of what type of product they have purchased and where they have purchased it.In addition to strengthening consumer protection -a key statutory objective for ESMA and for the EBA-, the guidelines will also allow firms, some of which sell products from more than one sector across the EU, to streamline and standardise their own complaints-handling arrangements. National regulators too will be able to supervise the same harmonised requirements across all sectors of financial services in their own jurisdictions.The guidelines will be translated into the official languages of the European Union (EU) and they will become applicable two months after the date of publication of their translations.

24/08/2007 VDP VDP response Reference PDF
129.3 KB
11/03/2013 2013/280 Vacancy notice- Chair of Committee drafting a proxy advising industry Code of Conduct , Reference PDF
102.91 KB
21/05/2008 08-316 Use of the Criteria defined in Article 22 of the Commission Regulation (EC) No 1287/2006 to determine liquid shares Reference PDF
87.19 KB
11/02/2016 2016/214 ToR OWG Prospectus Reference PDF
87.64 KB
30/10/2003 03-378b The role of CESR in the regulation and supervision of UCITS and asset management in the EU Reference PDF
123.55 KB
CESR publishes today a consultation paper setting out how it proposes to prepare for its new role in the regulation of Asset Management and Unit Collective Investment Schemes (UCITS) in Europe. This also includes establishing how European securities regulators will work until these responsibilities are transferred from the UCITS Contact Committee established by the European Commission to CESR and includes specific areas where CESR proposes to begin work. CESR sets out the three principles that will underpin its work in this area until it formally receives responsibility for providing advice to the Commission for portfolio management activities from the European Union. These principles include the commitment that: Any future work done by CESR regarding UCITS would have to be conducted in full coherence with the EU institutional framework; CESR should take in a global vision of the so-called
28/10/2004 04-527b The role of CESR at Level 3 under the Lamfalussy Process Reference PDF
233.17 KB
07/11/2007 07-306 The European Single market in securities in 2006: A factbook on Markets and Supervision Reference PDF
2.39 MB
04/06/2004 04-241 final Terms of reference for the cooperation and collaboration regarding market risks and regulatory projects between the US SEC and CESR Reference PDF
48.19 KB
02/08/2006 06-117b Terms of reference for CESR-Fin Reference PDF
100.14 KB
30/11/2021 ESMA41-140-79 Technical standards , Reference XLSX
169.44 KB
04/03/2004 03-427b Synthesis Table” regarding CESR Standards for Investor Protection (49 pages) Reference PDF
1.33 MB
The so-called
04/03/2004 03-432b Synthesis Table” regarding CESR Standards for Alternative Trading Systems Reference PDF
153.77 KB
The so-called
30/11/2006 06-260 Survey on the role of securities regulators in auditor oversight of public listed companies, and on their powers in relation to auditors of these companies Reference PDF
114 KB
11/06/2007 07-101 Survey on the direct communication of auditors with the public on the statutory audit of the annual or consolidated accounts of listed companies Reference PDF
78.42 KB
06/10/2010 10-1259 Supervisory notice- College of Supervisors announced for the Japan Credit Rating Agency Limited Reference PDF
55.8 KB
06/10/2008 08-734 Supervisory briefings- Inducements Reference PDF
321.58 KB
06/10/2008 08-733 Supervisory briefings- Conflicts of interest Reference PDF
65.94 KB
06/10/2008 08-735 Supervisory briefings- Best execution Reference PDF
74.02 KB

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