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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
24/06/2020 ESMA64-87-193 Management Board decision- Implementing rules on the middle management staff , Decision PDF
210.2 KB
20/03/2020 ESMA70-155-3832 List of trading venues benefiting from a transitional exemption from the access provisions under Article 36(5) of MiFIR Decision PDF
88.62 KB
01/10/2019 ESMA63-313-528 Financial Regulation of the European Securities and Markets Authority , Decision PDF
445.94 KB
11/10/2018 ESMA70-155-5905 Delegation_from_the_BoardofSupervisors_opinions on third country TV_PositionLimits , Decision PDF
222.28 KB
11/10/2018 ESMA70-155-5775 Delegation third country TV post trade transparency , Decision PDF
219.76 KB
06/11/2020 ESMA70-155-11210 Delegation third country TV post trade transparency , Decision PDF
124.97 KB
26/01/2017 ESMA40-1432018523-304 Decision- Adopting Rules of Procedure on Professional Secrecy Decision PDF
332.94 KB
02/07/2014 2014/MB/39 Decision on the Implementing Rules to the Financial Regulation of ESMA Decision PDF
279.01 KB
02/07/2014 2014/MB/38 Decision on the Financial Regulation of ESMA Decision PDF
392.78 KB
29/09/2020 ESMA-22-328-402 Decision on Conflict of Interest Policy for Non-Staff Decision PDF
147.09 KB
23/03/2020 ESMA22-328-275 Decision of the Management Board- Rules of Procedure , Decision PDF
144.92 KB
10/03/2011 2011/MB/4 Decision of the Management Board- Professional secrecy , Decision PDF
34.68 KB
10/03/2011 2011/MB/3 Decision of the Management Board- Internal language arrangements , Decision PDF
18.51 KB
10/03/2011 ESMA41-140-155 Decision of the Management Board- Code of good administrative behaviour , Decision PDF
179.82 KB
31/05/2011 2011/MB/69 Decision of the Management Board- Access to documents , Decision PDF
201.73 KB
11/02/2020 ESMA22-328-356 Decision of the Board of Supervisors- Election of Management Board Members , Decision PDF
116.69 KB
14/08/2015 BOA/2015/001 Decision of the Board of Appeal of the European Supervisory Authorities given under Article 60 of Regulation (EU) No 1094/2010 and the Board of Appeal’s Rules of Procedure (BOA 2012 002) , Decision PDF
147.78 KB
30/04/2018 BoA 2018-01 Decision in an appeal by A v ESMA , Decision PDF
392.62 KB
02/12/2014 2014/BOA/05 Decision by the ESA BoA concerning Investor Protection Europe sprl , Decision PDF
229.85 KB
The Joint Board of Appeal of the ESAs decides on the inadmissibility of an appeal brought by IPE sprl, a company based in Brussels, against a decision by ESMAThe Joint Board of Appeal of the European Supervisory Authorities published today its decision in an appeal brought by Investor Protection Europe (IPE) sprl, a company based in Brussels, against a decision of the European Securities and Markets Authority (ESMA) of 10 June 2014 not to initiate an investigation under Article 17 of the ESMA Regulation regarding an alleged breach of Union law by the Commission de Surveillance du Secteur Financier of Luxembourg.  The Board of Appeal unanimously decided that the appeal was inadmissible, and in the light of that decision, did not consider the substance of IPE’s complaint.
13/01/2014 BoA 2013-014 Board of Appeal Decision Global Private Rating Company v. ESMA , Decision PDF
361.96 KB
Board of Appeal of the European Supervisory Authorities dismisses appeal made by a refused CRA-applicant against ESMA On 10 January 2014, the Board of Appeal of the European Supervisory Authorities handed down its decision on an appeal by the appellant, Global Private Rating Company “Standard Rating” Ltd, against the refusal by the European Securities and Markets Authority (ESMA) to register it as a credit rating agency. This is the first appeal against a decision by ESMA refusing an applicant registration as a credit rating agency. The Board of Appeal unanimously decided that the appeal should be dismissed, and that ESMA’s refusal decision should be confirmed. It stated that it accepted the appellant’s point that the registration of a credit rating agency by ESMA is a new process, and recognised that the procedures will to an extent take time fully to work out. Nevertheless, because of the responsibilities placed on credit rating agencies and their importance in the financial system generally, it considered that the onus must be on an applicant to satisfy ESMA that the relevant requirements are met. The application and its contents must be very clear, and it is not ESMA’s responsibility as regulator to remedy deficiencies.