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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
16/12/2019 Overview recruitments Overview recruitments- Updated 16 December 2019 , Reference PDF
733.9 KB
20/12/2019 ESMA80-196-3218 Follow-up Report on fees charged by CRAs and TRs , , Report PDF
606.45 KB
07/02/2018 ESMA71-99-944 ESMA publishes 2018 Supervisory Convergence Work Programme , Press Release PDF
243.98 KB
29/11/2017 ESMA71-99-661 Peer Review on MiFID Compliance Function Press Release , , Press Release PDF
149.89 KB
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.

18/07/2017 ESMA71-99-521 ESMA recommends improvements in financial information enforcement , , Press Release PDF
148.06 KB
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.

12/12/2019 ESMA71-99-1263 Press release: ESMA calls for strengthened supervision on suspicious transaction reporting , Press Release PDF
100.61 KB
20/12/2019 ESMA71-99-1256 ESMA CRAs TRs thematic fees report , , Press Release PDF
101.41 KB
18/07/2019 ESMA71-99-1199 Press Release for CRA sustainability , Press Release PDF
79.07 KB
23/05/2019 ESMA71-99-1164 Press release: ESMA appoints chair for its new Coordination Network on Sustainability , Press Release PDF
67.45 KB
26/03/2019 ESMA71-99-1136 SCSC Chair reappointed , Statement PDF
78.43 KB
09/02/2017 ESMA71-844457584-345 ESMA publishes 2017 Supervisory Convergence Work Programme , Press Release PDF
151.67 KB

The European Securities and Markets Authority (ESMA) has published its 2017 Supervisory Convergence Work Programme (SCWP), which details the activities and tasks it will carry out to promote sound, efficient and consistent supervision across the European Union.

ESMA and national competent authorities (NCAs) will focus their supervisory convergence work on the following priorities:

  • the implementation of MiFID II/MiFIR and MAR including the underlying IT projects;
  • improving the quality to data collected by NCAs;
  • investor protection in the context of cross-border provision of services; and
  • convergence in the supervision of European Union CCPs.

These priorities have been developed taking into account different factors, including the market environment, legislative and regulatory developments, and NCAs’ supervisory priorities.

13/02/2019 ESMA71-319-91 Brexit – the regulatory challenges , , , , , Speech PDF
175.3 KB

Steven Maijoor keynote at the European Financial Forum in Dublin

10/10/2019 ESMA71-319-144 Building the EU Capital Markets Union while fostering global financial markets- EU-Asia Financial Dialogue/ASIFMA Conference , , , Speech PDF
135.51 KB

EU-Asia Financial Dialogue/ASIFMA Conference, Tokyo 10 October

05/01/2017 ESMA71-1154262120-155 Methodology for Mandatory Peer Reviews in relation to CCPs’ authorisation and supervision under EMIR , Reference PDF
334.98 KB
10/01/2020 ESMA71-102-173 ESMA Q&As- list of questions currently under development Reference XLSX
84.17 KB
20/12/2019 ESMA71-100-1792 CRAs and TRs Follow Up Fees Factsheet , , Reference PDF
122.09 KB
18/12/2019 ESMA71- 1-99-119 Press release on undue short-termism Press Release PDF
120.91 KB
03/12/2019 ESMA70-708036281-2 Questions and Answers on CSDR , Q&A PDF
553.25 KB

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