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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 & Recommendations PDF
593.19 KB
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 Guidelines & Recommendations PDF
407 KB

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 & Recommendations PDF
1006.44 KB

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.

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20/06/2012 2012/378 Operation of notifications of MiFID Article 41 suspensions and removals of financial instruments from trading Reference PDF
353.3 KB
This protocol has been created to ensure effective co-operation between Competent Authorities (CAs) with respect to their obligations under Article 41 of MiFID (Suspension and removal of in-struments from trading).The purpose of the notification obligations under Article 41 is to afford investors across all Mem-ber States the same level of protection regardless of where they trade. In order to achieve this outcome, a shared understanding of the different circumstances under which trading may be suspended in different Member States according to their national law and the expected course of action under Article 41 is helpful. To ensure trading is suspended or an instrument is removed from trading in an effective and timely way, an effective communication process is necessary.The protocol will be kept under review in light of practical experience.
19/07/2012 2011/454 MOU on the supervision of CRAs- ESMA and ASIC , Reference PDF
4 MB
This document contains two copies of the MOU, signed by ESMA and by the ASIC.
19/07/2012 2012/124 MOU on the supervision of CRAs- ESMA and MAS , Reference PDF
574.14 KB
19/07/2012 MOU SFC ESMA MOU on the supervision of CRAs- ESMA and SFC Hong Kong , Reference PDF
497.63 KB
19/07/2012 MOU SEC ESMA MOU on the supervision of CRAs- ESMA and SEC , Reference PDF
306.87 KB
19/07/2012 MOU CNV ESMA MOU on the supervision of CRAs- ESMA and CNV Argentina , Reference PDF
169.13 KB
19/07/2012 MOU Canada ESMA MOU on the supervision of CRAs- ESMA and Canadian authorities , Reference PDF
139.68 KB
25/07/2012 2012/478 ESMA MiFID database- description of webservice Reference PDF
123.71 KB
This document provides useful information for developers wanting to use the webservice provided in ESMA's MIFID databases.
16/11/2012 2012/752 Call for expressions of interest: Consultative Working Group for ESMA’s Financial Innovation Standing Committee Reference PDF
141.98 KB
To apply, please use the below Application form
18/02/2013 MOU ESMA/DFSA MOU on the supervision of CRAs- ESMA and Dubai FSA , Reference PDF
181.09 KB
20/03/2013 2013/319 The consistent implementation of Commission Regulation (EC) No 809/2004 implementing the Prospectus Directive , Guidelines & Recommendations PDF
540.48 KB

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 , Guidelines & Recommendations PDF
245.15 KB

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)

19/07/2013 MOU ACER ESMA MoU between ESMA and ACER concerning the consultation and cooperation regarding their regulatory responsibilities in relation to EU wholesale energy market Reference PDF
207.61 KB
02/12/2013 2013/1792 Call for expressions of interest regarding the establishment of the Consultative Working Group of the ESMA Market Data Reporting Working Group Reference PDF
98.24 KB
Deadline for applications is 3 January 2014.
05/06/2014 2014/608 MMoU on Cooperation Arrangements and Exchange of Information , Reference PDF
205.85 KB

The European Securities and Markets Authority (ESMA) has published the text of a new multilateral memorandum of understanding (MMoU) between EEA national competent authorities, and between national competent authorities and ESMA which entered into force on 29 May 2014. It has been signed by 33 authorities in the securities and markets area. The new MMoU was agreed in view of the increasing internationalisation, harmonisation and interdependence of financial services and markets in the European Union. It is designed to facilitate cooperation arrangements and the exchange of information between national competent authorities, and between national competent authorities and ESMA, in the application of their responsibilities under Union law relating to the securities and markets area. It also updates and replaces a previous agreement on the Exchange of Information and Surveillance of Securities Activities agreed by the members of the Committee of European Securities Regulators (formerly the Forum of European Securities Commissions) entered into by those members on 26 January 1999. List of Signatories to MMoU on Cooperation Arrangements and Exchange of Information

18/06/2014 2014/639 Call for expressions of interest regarding the renewal of the Consultative Working Group of the ESMA Secondary Markets Standing Committee Reference PDF
131.06 KB
The European Securities and Markets Authority (ESMA) is looking to newly constitute a Consultative Working Group (CWG) for the ESMA Secondary Markets Standing Committee (SMSC) as the two-year-term of the existing CWG has recently expired. ESMA is therefore calling for expressions of interest from stakeholders to become a member of the CWG by 13 July 2014. The application form should be accompanied by a CV. The model European CV is recommended.It is optional for applicants, though recommended, to attach a letter of motivation.
06/11/2014 2014/1334 MiFID database- Contact emails of national competent authorities for market participants [updated] Reference PDF
138.29 KB

ESMA has established a list of national contacts, to which questions pertaining to the content of specific entries should be sent.  Please use this list to contact the relevant competent authority if you a have a query regarding shares which have been included in or ex-cluded from the list, the calculations for a specific entry or its status as liquid/not liquid.

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