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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|17/05/2011||2011/BS/123||Decision of the Board of Supervisors- Appointment of the Securities and Markets Stakeholder Group||Board of Supervisors, Securities and Markets Stakeholder Group||Decision||PDF
|19/12/2011||2011/BS/229||Decision of the European Securities and Markets Authority establishing its Review Panel||Board of Supervisors, Corporate Information, Supervisory convergence||Decision||PDF
|This decision establishes the Review Panel of ESMA and sets out its mandate.|
|20/12/2013||2013/1970||Draft Regulatory Technical Standards on specific situations that require the publication of a supplement to the prospectus||Prospectus, Corporate Disclosure||Technical Standards||PDF
|The Final Report contains the draft Regulatory Technical Standard (RTS) on situations which require the publication of a supplement to the prospectus which ESMA is required to submit to the European Commission by 1 January 2014 in accordance with Article 16(3) of the Prospectus Directive. The Report furthermore includes a summary of the main responses received to ESMA’s Consultation Paper which was published in March 2013. The draft RTS sets out nine situations which are always considered to be significant in the context of securities issuance and where a supplement to the prospectus will always be required. Other situations would require a case-by-case assessment.|
|24/04/2014||2013/922||Compliance table- suitability guidelines||MiFID - Investor Protection, Guidelines and Technical standards||Compliance table||PDF
|24/04/2014||2013/923||Compliance table- compliance guidelines||Guidelines and Technical standards, MiFID - Investor Protection||Compliance table||PDF
|28/01/2015||2014/SMSG/002||Decision- Rules of procedure of the Securities and Markets Stakeholder Group||Securities and Markets Stakeholder Group||Decision||PDF
|18/02/2015||JC/GL/2014/43 Appendix 1||Compliance table for JC guidelines for complaints-handling for the securities (ESMA) and banking (EBA) sectors||Guidelines and Technical standards, Joint Committee||Compliance table||PDF
The table contains details of the competent authorities* who comply or intend to comply with the ESAs’ Joint Guidelines on complaints-handling for the securities (ESMA) and banking (EBA) sectors.
|22/12/2015||JC/2015/087||Compliance Table GL financial conglomerates||Guidelines and Technical standards, Joint Committee||Compliance table||PDF
|16/02/2016||ESMA70-151-3417||Comply or explain table for G&R on CCP college||Guidelines and Technical standards, Post Trading||Compliance table||PDF
|16/02/2016||ESMA70-151-3418||Comply or explain table for G&R on IO arrangements||Guidelines and Technical standards, Post Trading||Compliance table||PDF
|16/02/2016||ESMA70-151-3419||Comply or explain table for G&R on PFMIs||Guidelines and Technical standards, Post Trading||Compliance table||PDF
|31/03/2016||2016/408||Decision to adopt a supervisory measure taking the form of a public notice and to impose a fine in accordance with Statement of Findings in accordance with Articles 64(5), 65, 67 and 73 of Regulation (EC) No 648/2012 EMIR||Trade Repositories||Decision||PDF
Decision to adopt a supervisory measure taking the form of a public notice and to impose a fine in accordance with Statement of Findings in accordance with Articles 64(5), 65, 67 and 73 of Regulation (EC) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories
Public notice regarding negligent breach by DTCC Derivatives Repository Ltd of its legal obligation to ensure immediate access for regulators to data reported under EMIR
DTCC Derivatives Repository Ltd (‘DDRL’) is a trade repository registered in the European Union and is part of the DTCC group which includes a number of companies providing post-trading services to the global financial services industry. DDRL was registered by ESMA as a trade repository under Regulation (EU) No 648/2012 on OTC derivatives, central counterparties and trade repositories (‘EMIR’) on 7 November 2013. ESMA has responsibilities for the supervision and enforcement of provisions under EMIR concerning DDRL and other trade repositories registered in the EU.
In May 2014, ESMA’s supervisory team became aware of delays in providing regulators with access to data reported to DDRL under EMIR. Following further examination, the supervisory team formed the view that there were serious indications of the possible existence of facts liable to constitute one or more of the infringements listed in EMIR. The matter was accordingly referred to an independent investigation officer (the ‘IIO’). The IIO considered the evidence referred to him and conducted further investigations, before submitting his findings to ESMA’s Board of Supervisors (the ‘ESMA Board’).
Based on the findings of the IIO and the evidence put before it, the ESMA Board found on 23 March 2016 that an examination of the facts showed that DDRL had committed the following infringement under EMIR and had done so negligently. DDRL committed an infringement of EMIR by not allowing regulators and supervisors direct and immediate access to the details of derivatives contracts they need to fulfil their responsibilities and mandates.
|07/04/2016||2016/572||Compliance table- Guidelines on key concepts of the AIFMD||Fund Management, Guidelines and Technical standards||Compliance table||PDF
|12/04/2016||2016/602||Compliance table- Guidelines on ETFs and other UCITS issues||Fund Management, Guidelines and Technical standards||Compliance table||PDF
|04/05/2016||2016/675||Compliance table- Guidelines on sound remuneration policies under the AIFMD (ESMA/2013/232)||Fund Management, Guidelines and Technical standards||Compliance table||PDF
|24/04/2017||ESMA 32-67-184||Compliance table- guidelines on APMs ESMA 2015-1415||Corporate Disclosure, Guidelines and Technical standards||Compliance table||PDF
|04/10/2017||ESMA34-43-352||Compliance table for the Guidelines on sound remuneration policies under the UCITS Directive||Fund Management, Guidelines and Technical standards||Compliance table||PDF
|04/10/2017||ESMA34-32-316||Compliance table for the Guidelines sound remuneration policies under the AIFMD (ESMA/2016/579)||Fund Management, Guidelines and Technical standards||Compliance table||PDF
|29/05/2018||ESMA41-117-1108||Guidelines compliance table for Guidelines on cooperation arrangements and information exchange||Guidelines and Technical standards||Compliance table||PDF
|20/09/2018||ESMA70-156-350||Compliance table- Guidelines on the management body of market operators and DRSPs under MiFID II||Guidelines and Technical standards, MiFID - Secondary Markets||Compliance table||PDF