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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
03/10/2013 2013/1400 20 September 2013 meeting of the Principals of the OTC Derivative Regulators Group , Press Release PDF
86.63 KB

Principals and senior representatives of authorities responsible for the regulation of the over-the-counter (OTC) derivatives markets in Australia, Brazil, the European Union, Hong Kong, Japan, Ontario, Québec, Singapore, Switzerland and the United States met on 20 September 2013 at the headquarters of the European Securities and Markets Authority (ESMA) in Paris.  The Principals and representatives include:  ·         Steven Maijoor, Chair of the European Securities and Markets Authority (ESMA); ·         Greg Medcraft, Chairman of the Australian Securities and Investments Commission; ·         Leonardo Pereira, Chairman of the Comissão de Valores Mobiliários (Brazil); ·         Patrick Pearson, Acting Director at the European Commission; ·         Ashley Alder, Chief Executive Officer of the Hong Kong Securities and Futures Commission; ·         Masamichi Kono, Vice-Commissioner of the Japan Financial Services Agency; ·         Howard Wetston, Chair of the Ontario Securities Commission; ·         Anne Héritier Lachat, Chair of the Swiss Financial Market Supervisory Authority; ·         Gary Gensler, Chairman of the United States Commodity Futures Trading Commission; ·         Mary Jo White, Chair of the United States Securities and Exchange Commission; ·         Chuan Teck Lee, Assistant Managing Director at the Monetary Authority of Singapore; ·         Louis Morisset, President and CEO, l’Autorité des marchés financiers du Québec.  The Principals discussed generally: the application of clearing requirements to foreign branches and affiliates; risk mitigation techniques for non-centrally cleared derivatives transactions, such as timely confirmation, portfolio reconciliation, portfolio compression, valuation and dispute resolution; the need to co-operate in the implementation of internationally agreed standards on margin for non-centrally cleared derivatives transactions; co-operation on equivalence and substituted compliance assessments among the relevant authorities; and co-operation between authorities in the supervision of registered foreign entities;  The Principals agreed to meet again in February to continue the discussion of the above points.

28/09/2015 2015-ESMA-1464 Annex I 2015-ESMA-1464 Annex I- draft RTS and ITS on MiFID II and MiFIR Technical Standards PDF
2.85 MB
21/12/2016 2016/1682 2016-1682 Press Release on Feedback Statement on ESEF , , , Press Release PDF
225.03 KB
15/10/2009 AMLFT 09 3L3 Press Release on the Committees' compendium paper on the supervisory implementation practices of the Third Money Laundering Directive Press Release PDF
81.42 KB
28/01/2016 2016/167 Anneli Tuominen appointed Vice Chair of ESMA , Press Release PDF
139.35 KB
24/05/2018 ESMA71-99-981 Anneli Tuominen VC reappointment , Press Release PDF
208.13 KB
28/09/2015 2015/1457 - Annex II Annex II- CSDR TS on CSD Requirements and Internalised Settlement Technical Standards PDF
1.44 MB
28/09/2015 2015/1457 Annex III Annex III- CSDR TS on CSD Requirements and Internalised Settlement Technical Standards PDF
910.14 KB
18/04/2018 ESMA71-99-969 Board of Appeal Appointments 2018 Press Release PDF
292.64 KB
13/03/2019 BoA PR 01 Board of Appeal PR- Shadow Ratings Appeals Press Release PDF
399.67 KB
15/09/2010 10-1128 CESR Chair Tavares welcomes the two new proposals by the Commission for the regulation of derivatives markets and short selling Press Release PDF
106.29 KB
31/01/2007 07-100 CESR Chairs elect the Chair and Vice-Chair of CESR to lead them for the next two years Press Release PDF
82.99 KB
19/01/2010 10-034 CESR introduces new working structures to increase efficiency and to prepare for a smooth transition to ESMA Press Release PDF
185.06 KB
16/07/2010 10-901 CESR Members elect the Chair and Vice Chair of CESR to lead the Committee of European Securities Regulators (CESR) Press Release PDF
136.04 KB
27/10/2015 2015/1606 Common enforcement priorities for 2015 financial statements , Press Release PDF
138.19 KB
23/10/2018 ESMA70-151-1417 Compliance table for ESMA's Guidelines on the cooperation between authorities under Articles 17 and 23 of CSDR (ESMA70-151-435) Compliance table PDF
302.31 KB
11/02/2020 ESMA35-43-1076 Compliance table for Guidelines on MiFID II product governance requirements (ESMA35-43-620) , Compliance table PDF
156.28 KB
13/02/2020 ESMA70-156-1434 Compliance table for Guidelines on non-significant benchmarks (ESMA70-145-1209) , Compliance table PDF
128 KB
18/02/2015 JC/GL/2014/43 Appendix 1 Compliance table for JC guidelines for complaints-handling for the securities (ESMA) and banking (EBA) sectors , Compliance table PDF
280.37 KB
The table contains details of the competent authorities* who comply or intend to comply with the ESAs’ Joint Guidelines on complaints-handling for the securities (ESMA) and banking (EBA) sectors.
06/11/2018 ESMA35-43-1215 Compliance table for Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body , , Compliance table PDF
477.73 KB

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