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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|06/07/2012||2012/387||Final report Guidelines on certain aspects of the MiFID suitability requirements||Guidelines and Technical standards, MiFID - Investor Protection||Final Report||PDF
|29/11/2013||2013/998 DA||Retningslinjer for modellen til aftalememorandum om høring, samarbejde og informationsudveksling vedrørende tilsyn med AIFMD-enheder||Fund Management, Guidelines and Technical standards||Reference||PDF
|29/11/2013||2013/998 SL||Smernice o vzorcu memoranduma glede posvetovanja, sodelovanja in izmenjave informacij v zvezi z nadzorom subjektov iz direktive UAIS||Fund Management, Guidelines and Technical standards||Reference||PDF
|08/08/2014||2014/869 nl||Richtsnoeren voor rapportageverplichtingen uit hoofde van artikel 3, lid 3, onder d), en artikel 24, leden 1, 2 en 4, van de AIFMD||Guidelines and Technical standards||Reference||PDF
|08/08/2014||2014/869 ES||Directrices sobre las obligaciones de información de los artículos 3(3)(d) y 24(1), (2y (4) de la DGFIA||Guidelines and Technical standards||Reference||PDF
|25/08/2014||JC/2014/43 lt||Vertybinių popierių (ESMA) ir bankų (EBI) sektorių skundų nagrinėjimo gairės||Guidelines and Technical standards, Joint Committee||Reference||PDF
The European Securities and Markets Authority (ESMA) and the European Banking Authority (EBA) published today their Joint Committee final Report on guidelines for handling consumer complaints in the securities and banking sectors. The document aims to increase market confidence and for the benefit of consumers and firms alike it will ensure a harmonised approach to handling complaints for all 28 EU Member States and across all financial services sectors.The final report published today is part of the efforts of the European Supervisory Authorities to bring further supervisory convergence across the securities and banking sectors. It was developed on the basis of the existing complaints-handling guidelines established by EIOPA (the European Insurance and Occupational Pensions Authority) for the insurance sector. The report was launched for a public consultation last year and this final version takes into consideration the feedback received.ESMA and the EBA consider that these guidelines will ensure a consistent approach to complaints-handling across the EU. Consumers can purchase financial services and products in the investment, banking and insurance sectors across the entire EU Single Market and these guidelines will allow them to refer to a single set of complaints-handling arrangements. EU consumers will therefore be able to rely on the same approach irrespective of what type of product they have purchased and where they have purchased it.In addition to strengthening consumer protection -a key statutory objective for ESMA and for the EBA-, the guidelines will also allow firms, some of which sell products from more than one sector across the EU, to streamline and standardise their own complaints-handling arrangements. National regulators too will be able to supervise the same harmonised requirements across all sectors of financial services in their own jurisdictions.The guidelines will be translated into the official languages of the European Union (EU) and they will become applicable two months after the date of publication of their translations.
|26/05/2016||2016/725||Draft RTS on indirect clearing arrangements under EMIR and MiFIR||Guidelines and Technical standards, Post Trading, MiFID - Secondary Markets||Final Report||PDF
|30/09/2016||2016/1412||Final Report on MAR Guidelines on commodity derivatives||Guidelines and Technical standards, Market Abuse, Market Integrity||Final Report||PDF
Article 7(5) of MAR provides that the European Securities and Markets Authority (ESMA) shall issue guidelines to establish a non-exhaustive indicative list of information which is reasonably expected or is required to be disclosed in accordance with legal or regulatory provisions in Union or national law, market rules, contract, practice or custom, on the relevant commodity derivatives markets or spot markets as referred to in Article 7(1)(b) of MAR. This final report follows the Consultation Paper (CP) issued on March 2016.
Section 2 contains information on the background and mandate, while Section 3 sets out ESMA’s feedback to the CP responses in relation to the scope of the guidelines, the financial instruments and products covered by the examples of information relating directly and indirectly to commodity derivatives and information directly relating to a spot market contract. It also indicates whether and where ESMA has changed the guidelines following the consultation.
Annex I lists questions raised in the CP. Annex 2 provides the legislative mandate on the basis of which ESMA is issuing these guidelines. Annex 3 sets out ESMA’s view on the costs and benefits associated with these guidelines. Annex 4 contains the text of the guidelines.
The guidelines in Annex 4 will be translated into the official languages of the European Union and published on the ESMA’s website. Within 2 months of the issuance of the translations, each national competent authority will have to confirm whether it complies or intends to comply with those guidelines. In the event that a national competent authority does not comply or does not intend to comply, it will have to inform ESMA, stating its reasons. ESMA will publish the fact that a national competent authority does not comply or does not intend to comply with those guidelines.
|10/10/2016||2016/1451||Final Report- Guidelines on transaction reporting, order record keeping and clock synchronisation under MiFID II||Guidelines and Technical standards, MiFID - Secondary Markets||Final Report||PDF
|31/10/2016||2016/1529 ANNEX||Annex I- Template for the assessment of collective suitability||Guidelines and Technical standards, MiFID - Investor Protection||Reference||XLSX
|24/08/2017||ESMA70-151-552||Guidelines on transfer of data between Trade Repositories||Guidelines and Technical standards, Post Trading||Final Report||PDF
|28/09/2017||ESMA70-154-266||Guidelines on the management body of market operators and data reporting service providers||Guidelines and Technical standards, MiFID - Secondary Markets||Final Report||PDF
|02/10/2017||ESMA71-99-608||Annex (Template for the Assessment of Collective Suitability)||Guidelines and Technical standards, MiFID - Investor Protection||Reference||XLSX
|11/02/2020||ESMA41-140-79||Technical standards||Corporate Information, Guidelines and Technical standards||Reference||XLSX
|12/02/2020||ESMA42-646012687-331||ESMA Guidelines||Corporate Information, Guidelines and Technical standards||Reference||PDF
|12/02/2020||ESMA42-110-812||Notifications of Compliance with Guidelines – Overview Table||Guidelines and Technical standards||Reference||XLSX