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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
18/01/2011 2011/27 Press release- ESMA finds diversity across Europe in regulators’ contingency measures for financial crisis situations , Press Release PDF
31.5 KB
07/07/2011 2011/195 Press release- ESMA investigates how Member States have implemented the Transparency Directive , Press Release PDF
61.34 KB
12/10/2011 2011/339 Press release- ESMA Stakeholder Group elects Guillaume Prache as chair, Judith Hardt and Peter de Proft as vice-chairs , Press Release PDF
29.29 KB
28/10/2011 2011/SMSG/11 Response to ESMA's Consultation paper on guidelines on systems and controlsin a highly automated trading environment for trading platforms, investmentfirms and competent authorities SMSG Advice PDF
48.99 KB
28/10/2011 2011/SMSG/12 Position paper- ESMA's Consultation on systems and controls in a highly automated trading environment for trading platforms, investment firms and competent authorities SMSG Advice PDF
59.19 KB
28/10/2011 2011/SMSG/13 Advice on ESMA's draft technical advice to the European Commission on possible implementing measures of the Alternative Investment Fund Man-agers Directive in relation to supervision and third countries SMSG Advice PDF
88.23 KB
01/12/2011 2011/SMSG/18 Advice on ESMA's public consultation on UCITS Exchange traded funds in the European Union SMSG Advice PDF
149.17 KB
02/02/2012 2012/SMSG/6 Letter regarding deadlines for the submission of ESMA’s technical standards SMSG Advice PDF
82.35 KB
A letter from the ESMA Securities and Markets Stakeholder Group to Michel Barnier, Commissioner for Internal Market and Services, Sharon Bowles, Chair of ECON, and Klaus-Heiner Lehne, Chair of JURI, regarding deadlines for the submission of ESMA's technical standards.
28/02/2012 2012/SMSG/11 Advice on Guidelines on certain aspects of the MiFID suitability requirements SMSG Advice PDF
138.1 KB
28/02/2012 2012/SMSG/12 Advice on Guidelines on certain aspects of the MiFID compliance function requirements SMSG Advice PDF
83.35 KB
26/04/2012 2012/272 ESMA identifies divergence in Member States’ use of sanctions under the Market Abuse Directive , Press Release PDF
179.91 KB
The European Securities and Markets Authority (ESMA) has published a report on the use of administrative and criminal sanctions by European Union (EU) national regulators under the Market Abuse Directive (MAD).  The report provides a comparison of the use of administrative sanctioning powers across 29 EEA Member States for 2008-2010.  The results of the report will provide input to the legislative process on the new market abuse regime.
24/05/2012 2012/330 ESMA finds high level of consistency in EU national regulators’ practices for the approval of investment prospectuses , Press Release PDF
177.71 KB
The European Securities and Markets Authority (ESMA) has published today “Prospectus Directive – Good Practices in the approval process“,  a peer review report on the application of regulatory good practices by national supervisory authorities - competent authorities (CA)  when approving investment prospectuses.The review was conducted using good practice criteria that ESMA developed on selected areas of the Prospectus Directive dealing with the approval process for investment prospectuses.  The prospectuses provide investors with easy to understand and relevant information on investment products.  Peer review reports on national regulators’ procedures contribute to ESMA’s objective of fostering supervisory convergence and achieving a level playing field between jurisdictions.
27/09/2012 2012/SMSG/60 SMSG advice on Guidelines on sound remuneration policies under the AIFMD SMSG Advice PDF
81.39 KB
12/10/2012 2012/SMSG/59 Securities and Markets Stakeholder Group – Report on Helping Small and Medium Sized Companies Access Funding SMSG Advice PDF
497.32 KB
15/04/2013 ESMA/2013/475 Press Release ESMA finds divergence in national supervision of money market funds Press Release PDF
136.95 KB
The European Securities and Markets Authority (ESMA) has published a peer review report examining whether EU securities supervisors correctly apply ESMA’s guidelines on money market funds (MMFs).  The review compared supervisory and enforcement practices for MMFs of 30 supervisory authorities across the European Economic Area (EEA). ESMA reviewed those 20 jurisdictions that had transposed the guidelines into their national rules. 
01/07/2013 2013/852 ESMA review finds good compliance with EU market abuse rules , , Press Release PDF
132.09 KB
The European Securities and Markets Authority (ESMA) has published a peer review of the supervisory practices EEA national competent authorities (NCAs) apply in enforcing the requirements of the Market Abuse Directive (MAD).  The Directive deals with the prevention of the dissemination of misleading information, the breach of reporting obligations and market abuse.  
12/12/2013 2013/1909 ESMA appoints new Securities Markets Stakeholders Group members , Press Release PDF
108.69 KB
ESMA appoints new Securities Markets Stakeholders Group members The European Securities and Markets Authority (ESMA) has announced the composition of its Securities Markets Stakeholder Group (SMSG) following its approval by ESMA’s Board of Supervisors. These individuals will begin a term of 2½ years on 1 January 2014 and will replace the group whose mandate expires on 31 December 2013. The new SMSG will be composed of 30 individuals drawn from across 17 Member States and representing ESMA’s key stakeholder constituencies – consumer representatives (4), users of financial services (5), financial market participants (10), financial institution employees (2), small and medium sized enterprises (1) and academics (8). A number of the incoming members have previously served in the first SMSG. The SMSG was set up to facilitate consultation with key financial market stakeholders on all aspects of ESMA’s work. The SMSG provides ESMA with opinions and advice on policy workstreams and must be consulted on technical standards and guidelines and recommendations. In addition, the Stakeholder Group is expected to notify ESMA of any inconsistent application of European Union law as well as inconsistent supervisory practices in the Member States. Steven Maijoor, ESMA Chair, said: “The SMSG makes an important contribution to ESMA’s policy development, providing us with timely and valuable input on how our regulatory activities may potentially affect the different users of financial markets. “We have enjoyed a very good working relationship with the outgoing members of the SMSG who, as well as contributing their views and experience to our policymaking discussions, have been pioneers in developing the role of their group as part of the new European System of Financial Supervision. I look forward to working with the SMSG’s new members on a host of challenging issues.” The SMSG meets at least four times a year, and in addition meets twice with ESMA’s Board of Supervisors. Their advice and opinions are published on ESMA’s website.
20/12/2013 2013/SMSG/017 Advice on Consultation Paper – Draft Regulatory Technical Standards on contracts having a direct, substantial and foreseeable effect within the Un-ion and non-evasion of provisions of EMIR SMSG Advice PDF
27.43 KB
20/12/2013 2013/SMSG/018 Advice on Discussion Paper – The Clearing Obligation under EMIR SMSG Advice PDF
46.94 KB
20/12/2013 2013/SMSG/020 Response to the Consultation Paper ESMA Guidelines on enforcement of financial information SMSG Advice PDF
67.09 KB

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