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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|23/03/2011||2011/81||Recommendations- ESMA update of the CESR recommendations on the consistent implementation of Commission Regulation (EC) No 809/2004 implementing the Prospectus Directive||Guidelines and Technical standards, Prospectus, Corporate Disclosure||Guidelines & Recommendations||PDF
|22/12/2011||2011/456||Final report- Guidelines on systems and controls in an automated trading environment for trading platforms, investment firms and competent authorities||MiFID - Secondary Markets||Guidelines & Recommendations||PDF
This is the final report. The guidelines along with the translations are published separately.
|24/02/2012||2012/122||Guidelines- Systems and controls in an automated trading environment for trading platforms, investment firms and competent authorities||Guidelines and Technical standards, MiFID - Secondary Markets||Guidelines & Recommendations||PDF
ESMA Board of Supervisors (the BoS) has decided on the 26 September 2018 to withdraw the guidelines on “Systems and controls in an automated trading environment for trading platforms, investment firms and competent authorities”. The guidelines were issued by ESMA, in February 2012, to ensure a common, uniform and consistent application of MiFID and MAD. The BoS decision to withdraw the guidelines is based on the subject matter being fully incorporated into MiFID II, MAR, and relevant delegated acts.
|20/03/2013||2013/319||The consistent implementation of Commission Regulation (EC) No 809/2004 implementing the Prospectus Directive||Corporate Disclosure, Prospectus||Guidelines & Recommendations||PDF
This document contains an update of the CESR recommendations.
|18/07/2013||2013/998||Guidelines on the model MoU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities||International cooperation, Fund Management||Guidelines & Recommendations||PDF
ESMA finalises supervisory co-operation agreements for alternative investment funds The European Securities and Markets Authority (ESMA) has approved seven co-operation arrangements between EU securities regulators and their global counterparts with responsibility for the supervision of alternative investment funds, including hedge funds, private equity and real estate funds. ESMA’s Board of Supervisors, at its July meeting, approved Memoranda of Understanding (MoUs) with authorities from the Bahamas, Japan, Malaysia, Mexico and the United States, including the Commodity Futures Trading Commission (CFTC). ESMA has now negotiated 38 agreements on behalf of the 31 EU/EEA national competent authorities for securities markets supervision. The co-operation agreements allow for the exchange of information, cross-border on-site visits and mutual assistance in the enforcement of respective supervisory laws. ESMA had approved 31 MoUs with other non-EU regulators in May. The agreements cover third-country alternative investment fund managers (AIFMs) that market alternative investment funds (AIFs) in the EU and EU AIFMs that manage or market AIFs outside the EU. The agreements also cover co-operation in the cross-border supervision of depositaries and AIFMs’ delegates. National securities regulators in the EU, as the supervisors of AIFMs, are in the process of signing MoUs with those jurisdictions relevant to their market. The existence of co-operation arrangements between the EU and non-EU authorities is a precondition of the Alternative Investment Fund Managers Directive (AIFMD) for allowing managers from third countries access to EU markets or to perform fund management by delegation from EU managers by 22 July 2013. The co-operation arrangements are applicable from 22 July, and will enable cross-border marketing of AIFs to professional investors between jurisdictions. This is subject to the non-EU jurisdiction not being listed as a non-cooperative jurisdiction by the Financial Action Task Force and, as from the entry into force of the passport for non-EU managers, having co-operation agreements in place with EU Member States regarding the exchange of information on tax matters. The content of the ESMA MoUs follow the IOSCO Principles on Cross-Border Supervisory Co-operation of 2010, and complements the terms and conditions of the IOSCO Multilateral MoU Concerning Consultation and Co-operation and the Exchange of Information of 2002 (MMoU). ESMA had originally contacted all the authorities that have signed the IOSCO MMoU of 2002. ESMA has now approved MoUs with those 42 authorities that responded to ESMA’s call. ESMA continues to negotiate the MoU with the Chinese authority. Memoranda of Understanding (MoUs) MoU with AFSA (Albania) MoU with ASIC (Australia) MoU with BMA (Bermuda) MoU with Canadian authorities Accompanying letter MoU with CDVM (Morocco) MoU with CFTC (US) Accompanying letter MoU with CIMA (Cayman Islands) MoU with CMA (Kenya) MoU with CMSA (Tanzania) MoU with CNBV (Mexico) MoU with CVM (Brazil) MoU with DFSA (Dubai) MoU with FCSM (Mauritius) MoU with FINMA (Switzerland) MoU with FSA (Labuan) MoU with FSC (BVI) MoU with FSC (Guernsey) MoU with FSC (Isle of Man) MoU with FSC (Jersey) MoU with HKMA (Hong Kong) MoU with ISA (Israel) MoU with JFSA (Japan) MoU with MAFF (Japan) MoU with MAS (Singapore) MoU with METI (Japan) MoU with OCC and FED (US) MoU with OSFI (Canada) MoU with SC (Malaysia) MoU with SC (Republic of Srpska) MoU with SC (The Bahamas) MoU with SCA (UAE) MoU with SEBI (India) MoU with SEC (Montenegro) MoU with SEC (Pakistan) MoU with SEC (Thailand) MoU with SEC Macedonia (FYROM) MoU with SFC (Hong Kong) MoU with US SEC Accompanying letter MoU with EFSA (Egypt) MoU with FMA (New Zealand) MoU with FSB (South Africa) MoU with SSC (Vietnam) MoU with FSC and FSS (South Korea)
|26/02/2015||2015/496||MiFID II – Switching on the light without turning-off the tap- Verena Ross, Executive Director, ESMA||MiFID - Secondary Markets, Speeches||Speech||PDF
|Verena Ross, Executive Director of ESMA, delivered the keynote speech at the ABA/Law Society Capital Markets Conference 2015 in London on MiFID II which focused on transparency and liquidity issues.|
|24/03/2015||2015/620||MIFID/MIFIR- CSD hearing before ECON||MiFID - Secondary Markets, Speeches||Speech||PDF
|06/05/2015||2015/675||Guidelines on the application of the definitions in Sections C6 and C7 of Annex I of Directive 2004/39/EC (MiFID)||Guidelines and Technical standards, MiFID - Secondary Markets||Guidelines & Recommendations||PDF
|29/10/2015||2015/1615||Steven Maijoor speech at ECN||Innovation and Products, Speeches||Speech||PDF
|07/01/2016||2015/1912||Opening Speech by J Servais, President of FSMA||Innovation and Products||Speech||PDF
|07/01/2016||2015/1915||Closing Speech by V Ross, ESMA FI Day||Innovation and Products||Speech||PDF
|07/03/2016||2016/345||Financial Innovation towards a balanced regulatory response- Speech by V. Ross||Innovation and Products, Speeches||Speech||PDF
|26/05/2016||2016/734||Key note speech for the City week 2016 – Verena Ross, 9 May, London||Speeches, MiFID - Secondary Markets||Speech||PDF
|13/06/2016||2016/945||Speech for the DSGV Kapitalmarktsymposium- Verena Ross, 10 June 2016, Berlin||MiFID - Secondary Markets||Speech||PDF
|30/09/2016||2016/1420||Financial Technology: The Regulatory Tipping Points||Innovation and Products, Risk Analysis & Economics - Markets Infrastructure Investors||Speech||PDF
|30/09/2016||2016/1421||MiFID II: Status Quo und weitere Entwicklung||MiFID - Secondary Markets, Speeches||Speech||PDF
|24/11/2016||2016/1613||Regulation and DLT: Working to Strike the Right Balance||Innovation and Products, Speeches||Speech||PDF
|23/01/2017||ESMA71-844457584-330||Speech by Patrick Armstrong- FinTech, Oslo Børs ASA Conference, 18 January 2017||Innovation and Products, Speeches||Speech||PDF
|18/05/2017||pkaspeech||Speech by Patrick Armstrong on The Adoption of RegTech within the Financial Services Industry||Innovation and Products||Speech||PDF
|27/06/2017||ESMA70-872942901-63||Guidelines on calibration of circuit breakers and publication of trading halts under MiFID II||Guidelines and Technical standards, MiFID - Secondary Markets||Guidelines & Recommendations||PDF
BG - Преводът е предоставен от Центъра за преводи за органите на Европейския съюз.
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FI - Euroopan unionin elinten käännöskeskus on tehnyt tämän käännöksen.
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LT - Šį tekstą išvertė Europos Sąjungos įstaigų vertimo centras.
LV - Šo tulkojumu ir nodrošinājis Eiropas Savienības iestāžu Tulkošanas centrs.
MT - Din it-traduzzjoni ġiet ipprovduta miċ-Ċentru tat-Traduzzjoni għall-Korpi tal-Unjoni Ewropea.
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SK - Preklad vyhotovilo Prekladateľské stredisko pre orgány Európskej únie.
SL - Prevod je zagotovil Prevajalski center za organe Evropske unije.
SV - Den här översättningen har utförts av Översättningscentrum för Europeiska unionens organ.