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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
08/03/2011 2011/62 10th Extract from EECS's Database of Enforcement Decisions Final Report PDF
361.42 KB
02/08/2006 06-400 11th meeting of the Market Participants Consultative Panel Final Report PDF
69.11 KB
22/12/2006 06-639 12th meeting of the Market Participants Consultative Panel Final Report PDF
69.26 KB
03/08/2007 07-339 13th meeting of the Market Participants Consultative Panel Final Report PDF
68.82 KB
03/08/2007 07-438 14th meeting of the Market Participants Consultative Panel Final Report PDF
69.33 KB
23/05/2008 08-319 16th meeting of the Market Participants Consultative Panel Final Report PDF
81.33 KB
09/02/2009 08-779 17th meeting of the Market Participants Consultative Panel Final Report PDF
80.06 KB
09/02/2009 08-1035 18th meeting of the Market Participants Consultative Panel Final Report PDF
71.45 KB
02/09/2009 09-339 19th meeting of the Market Participants Consultative Panel Final Report PDF
85.01 KB
03/10/2013 2013/1400 20 September 2013 meeting of the Principals of the OTC Derivative Regulators Group , Press Release PDF
86.63 KB

Principals and senior representatives of authorities responsible for the regulation of the over-the-counter (OTC) derivatives markets in Australia, Brazil, the European Union, Hong Kong, Japan, Ontario, Québec, Singapore, Switzerland and the United States met on 20 September 2013 at the headquarters of the European Securities and Markets Authority (ESMA) in Paris.  The Principals and representatives include:  ·         Steven Maijoor, Chair of the European Securities and Markets Authority (ESMA); ·         Greg Medcraft, Chairman of the Australian Securities and Investments Commission; ·         Leonardo Pereira, Chairman of the Comissão de Valores Mobiliários (Brazil); ·         Patrick Pearson, Acting Director at the European Commission; ·         Ashley Alder, Chief Executive Officer of the Hong Kong Securities and Futures Commission; ·         Masamichi Kono, Vice-Commissioner of the Japan Financial Services Agency; ·         Howard Wetston, Chair of the Ontario Securities Commission; ·         Anne Héritier Lachat, Chair of the Swiss Financial Market Supervisory Authority; ·         Gary Gensler, Chairman of the United States Commodity Futures Trading Commission; ·         Mary Jo White, Chair of the United States Securities and Exchange Commission; ·         Chuan Teck Lee, Assistant Managing Director at the Monetary Authority of Singapore; ·         Louis Morisset, President and CEO, l’Autorité des marchés financiers du Québec.  The Principals discussed generally: the application of clearing requirements to foreign branches and affiliates; risk mitigation techniques for non-centrally cleared derivatives transactions, such as timely confirmation, portfolio reconciliation, portfolio compression, valuation and dispute resolution; the need to co-operate in the implementation of internationally agreed standards on margin for non-centrally cleared derivatives transactions; co-operation on equivalence and substituted compliance assessments among the relevant authorities; and co-operation between authorities in the supervision of registered foreign entities;  The Principals agreed to meet again in February to continue the discussion of the above points.

18/07/2006 06-259b 2006 report on Supervisory Convergence in the field of Securities Markets Final Report PDF
146.06 KB
21/12/2016 2016/1682 2016-1682 Press Release on Feedback Statement on ESEF , , , Press Release PDF
225.03 KB
15/10/2018 ESMA31-62-1114 2017 Report on EEA prospectus activity Final Report PDF
385.45 KB
02/09/2009 09-769 20th meeting of the Market Participants Consultative Panel Final Report PDF
131.95 KB
03/11/2010 09-1218 21st meeting of the Market Participants Consultative Panel Final Report PDF
129.33 KB
05/07/2010 10-567 22nd meeting of the Market Participants Consultative Panel Final Report PDF
123.41 KB
03/11/2010 10-1159 23rd meeting of the Market Participants Consultative Panel Final Report PDF
122.85 KB
17/12/2007 07-630 2nd extract from EECS’s database of enforcement decisions Final Report PDF
171.08 KB
15/10/2009 AMLTF 09 3L3 Compendium Paper on the supervisory implementation practices across EU Member States of the Third Money Laundering Directive [2005/60/EC] Final Report PDF
625.7 KB
23/04/2009 09-356 3L3 Joint Contribution to the European Commission’s consultation on the improvement of supervision for the financial services sector Final Report PDF
104.48 KB

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