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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|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.
|19/09/2012||2012/579||Statement by Steven Maijoor at the ECON hearing on 19/09/2012||Corporate Information, Speeches||Speech||PDF
|Statement given by Steven Maijoor, Chair of ESMA, at the ECON hearing in the European Parliament on 19 September 2012|
|04/12/2012||2012/803||Rebuilding investors trust in EU capital markets- Steven Maijoor, ESMA Chair||Corporate Information, Speeches||Speech||PDF
|Steven Maijoor, Chair of the European Securities and Markets Authority (ESMA), delivered the keynote address at the DSW Finuse Conference in Wiesbaden on 4 December 2012.|
|04/12/2012||2012/800||ESMA’s role in markets reform- Verena Ross, ESMA Executive Director||Corporate Information, Speeches||Speech||PDF
|Verena Ross, ESMA Executive Director, delivered the keynote address at the ICI Global Trading and Market Structure Conference in London.|
|11/03/2013||2013/279||"Regulation of systemically important financial institutions and of the shadow banking system"- speech by Steven Maijoor, Chair, at the CDU/CSU congress in Berlin||Corporate Information, Speeches||Speech||PDF
|24/05/2013||2013/603||ESAs—Achievement and Challenges, by Steven Maijoor, Chair of ESMA||Corporate Information, Speeches||Speech||PDF
ESAs – Achievement and Challenges Public Hearing on Financial Supervision in the EU 24 May 2013, Brussels Speech by Steven Maijoor, Chair
|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)
|06/11/2014||2014/1339||Capital Markets Union: building competitive, efficient capital markets trusted by investors||Corporate Information, Speeches||Speech||PDF
|Steven Maijoor, ESMA Chair, spoke at the joint EU Commission/Italian Presidency Growth for Finance Conference in Brussels - " Excerpts "Following its launch by President Juncker in July 2014, the Capital Markets Union (CMU) is now a concept under construction and I am very happy to have been invited to contribute today to its development. When doing so, we should remember the clear objective from President Juncker who stated that the CMU should maximise the benefits of capital markets and non-bank financial institutions for the real economy. "Despite the many efforts of the past four decades, and the good results achieved, the EU capital market is still fragmented which limits its potential. For example, an institutional investor wanting to invest in a mid-sized company will still have a strong bias towards companies in its own Member-State. There are transactions not happening that otherwise would be beneficial both for the investor and the company because of this home bias. The reason for this stems from a complex set of barriers relating to such issues as transparency of Small and Medium-sized Entities (SMEs), differences in their governance and cross-border differences in the ownership of shares. In sum, we are only halfway there. While the EU capital market has integrated steadily in the past four decades it is not yet comparable with, for example, the US capital market. With a five year time-horizon in mind, what is needed to achieve a strong and integrated capital market to increase capital availability and to support economic growth in all 28 Member States? In my view, there are four main building blocks: (1) greater diversity in funding; (2) increasing the efficiency of capital markets; (3) strengthening and harmonisation of supervision; and (4) increasing the attractiveness of capital markets both for EU investors and for investors from outside the Union. "The CMU should be based on an accelerated integration of the capital markets of the 28 Member States. The end goal should be a CMU that is competitive, efficient and that provides a wide range of funding channels. Above all, it should be trusted by investors."|
|19/11/2014||2014/1382||Regulatory measures to prevent another crisis- speech by Steven Maijoor||Corporate Information, Speeches||Speech||PDF
|Steven Maijoor, Chair of ESMA, gave the keynote speech at the "Regulatory measures to prevent another crisis?" event organised by the CFA Institute in Brussels, Belgium.|
|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
|14/09/2015||2015/1349||Statement by Steven Maijoor ESMA Chair- ECON Hearing 14 September 2015||Corporate Information, Speeches||Speech||PDF
|17/11/2015||2015/1679||Steven Maijoor Opening Statement ECON 17 Nov 2015||Corporate Information, Speeches||Speech||PDF
|17/11/2015||2015/1680||Verena Ross Statement ECON 17 Nov 2015||Corporate Information, 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||2016/1421||MiFID II: Status Quo und weitere Entwicklung||MiFID - Secondary Markets, Speeches||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
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