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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
31/05/2017 ESMA71-99-469 ESMA issues principles on supervisory approach to relocations from the UK , , Press Release PDF
143.31 KB

The European Securities and Markets Authority (ESMA) has published an Opinion setting out general principles aimed at fostering consistency in authorisation, supervision and enforcement related to the relocation of entities, activities and functions from the United Kingdom. The opinion is addressed to national competent authorities (NCAs), in particular of the 27 Member States that will remain in the EU (EU27).

The opinion is a practical tool to support supervisory convergence in the context of increased requests from UK financial market participants seeking to relocate to the EU27. It covers all legislation referred to in the ESMA Regulation, in particular the AIFMD, the UCITS Directive, MiFID I and MiFID II.

13/07/2017 ESMA71-99-526 ESMA issues sector-specific principles on relocations from the UK to the EU27 , , Press Release PDF
157.73 KB

The European Securities and Markets Authority (ESMA) has published three Opinions setting out sector-specific principles in the areas of investment firms, investment management and secondary markets, aimed at fostering consistency in authorisation, supervision and enforcement related to the relocation of entities, activities and functions from the United Kingdom .

The opinions, building on the general opinion issued in May, are practical tools to support supervisory convergence in the context of requests from UK financial market participants seeking to relocate to the EU27. They are addressed to national competent authorities (NCAs) and are relevant for market participants considering relocating.

They provide guidance to NCAs aimed at ensuring a consistent interpretation of the requirements relating to authorisation, supervision and enforcement in order to avoid the development of regulatory and supervisory arbitrage risks.

26/09/2017 ESMA71-99-599 EBA and ESMA provide guidance to assess the suitability of management body members and key function holders , , , Press Release PDF
243.97 KB

The European Banking Authority (EBA) and the European Securities and Markets Authority (ESMA) have published their joint Guidelines to assess the suitability of members of management bodies and key function holders.

19/12/2017 ESMA71-99-916 ESMA consults on securitisation requirements , Press Release PDF
150.34 KB
12/07/2018 ESMA42-110-998 Timely submission of requests for authorisation in the context of the United Kingdom withdrawing from the European Union , Statement PDF
128.92 KB
08/11/2018 ESMA71-99-1055 ESMA proposes a regulatory change to support the Brexit preparations of counterparties to uncleared OTC derivatives , , Press Release PDF
149.65 KB
09/11/2018 ESMA80-187-149 Public statement- Contingency plans of Credit Rating Agencies and Trade Repositories in the context of the United Kingdom withdrawing from the European Union , , Statement PDF
137.78 KB
23/11/2018 ESMA70-151-1948 Managing risks of a no-deal Brexit in the area of central clearing , , Statement PDF
128.26 KB
19/12/2018 ESMA35-43-1328 Brexit Statement- information to clients , Statement PDF
212.95 KB
19/12/2018 ESMA70-151-2032 ESMA statement recognition of UK CCPs and CSD in no deal Brexit , Statement PDF
220.12 KB
11/01/2019 ESMA33-128-577 Statement on Securitisation implementation Statement PDF
324.46 KB
01/02/2019 ESMA71-99-1096 ESMA and EU securities regulators MoUs with FCA , , , , , Press Release PDF
80.5 KB
04/02/2019 ESMA71-99-1107 ESMA agrees no-deal Brexit MOUs with the Bank of England for recognition of UK CCPs and the UK CSD , , Press Release PDF
131.3 KB
05/02/2019 ESMA 70-155-7026 Use of UK data in ESMA databases in case of a no-deal Brexit , , Statement PDF
281.69 KB
18/02/2019 ESMA71-99-1114 ESMA to recognise three UK CCPs in the event of a no-deal Brexit , , Press Release PDF
128.51 KB
01/03/2019 ESMA71-99-1119 ESMA to recognise the UK Central Securities Depository- no deal , , Press Release PDF
79.27 KB
07/03/2019 ESMA70-155-7253 Public Statement MiFIDII BMR provisions under a no deal Brexit , Statement PDF
333.6 KB
15/03/2019 ESMA33-5-735 ESMA statement on the endorsement of UK credit ratings in case of a no-deal Brexit , Statement PDF
122.54 KB
19/03/2019 ESMA70-155-7329 Public Statement Trading Obligation Shares , Statement PDF
134.02 KB
19/03/2019 ESMA65-8-6254 Public statement on Brexit Data Operational Plan , Statement PDF
147.23 KB