ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
23/12/2008 09-966 4th extract from EECS’s database of enforcement decisions Final Report PDF
210.73 KB
24/03/2009 09-252 5th extract from EECS’s database of enforcement decisions Final Report PDF
216.25 KB
26/08/2009 09-720 6th extract from EECS’s database of enforcement decisions Final Report PDF
241.6 KB
16/12/2009 09-1134 7th Extract from EECS’s Database of Enforcement Decisions Final Report PDF
293.15 KB
13/07/2010 10-834 8th Extract from EECS’s Database of Enforcement Decisions Final Report PDF
161.13 KB
25/10/2010 10-1151 9th Extract from EECS’s Database of Enforcement Decisions Final Report PDF
136.48 KB
01/08/2001 01-045fusion A "European Passeport" for issuers: An additional submission to the European Commission on the issue raised in paragraph 18 of the FESCO report of 20 December 2000 (Ref. Fesco/00-138b) Final Report PDF
223.73 KB
The last FESCO paper on a "European Passeport" for issuer, stated that in a member of areas, further work needed to be undetaken. FESCO has considered some of these issues and is now submitting for comment the following paper regarding disclosure requiremnents for products different from shares and ordinary bonds, the offer and a proposal on the content of the Pro Forma and the other financial information to be included in the propesctus. This complementary document is not intended to pre-empt any work to be undertaken by the Committee of European Securities Regulators in relation to the proposed directive on prospectuses. Rather this paper aims to complete aspects of the FESCO first paper and inform the subsequent work by the Committee. All comments received will be forwarded to the European Commission, unless respondent state otherwise.
09/08/2007 07-429 A compilation of responses by CESR Members to the European Commission's request for initial assistance on commodity and exotic derivatives and related business Final Report PDF
325.5 KB
20/12/2000 00-138b A European Passport for Issuers- Report to the European Commission Final Report PDF
355 KB
29/06/2000 00-096l A European Regime Against Market Abuse Final Report PDF
70.68 KB
23/11/2007 07-783 A proposed evolution of EU securities supervision beyond 2007 Final Report PDF
101.48 KB
23/09/2010 10-917 Activity Report on IFRS enforcement 2009 Final Report PDF
249.55 KB
21/06/2007 07-334b An evaluation of equivalence of supervisory powers in the EU under the Market Abuse Directive and the Prospectus Directive A report to the Financial Services Committee (FSC) Final Report PDF
231.64 KB
22/12/2009 09-1028 Annex 2 to CESR’s technical advice to the European Commission on the level 2 measures related to the format and content of KID disclosures for UCITS- Methodology for calculation of the ongoing charges figure Final Report PDF
118.39 KB
28/09/2015 2015-ESMA-1464 Annex II Annex II- CBA- draft RTS and ITS on MiFID II and MiFIR Final Report PDF
5.07 MB
01/07/2009 09-058a Annex to CESR's report on the mapping of supervisory powers, administrative and criminal sanctioning regimes of Member States in relation to the Transparency Directive (TD) Final Report PDF
1.04 MB
22/12/2009 09-1026 Annex to CESR’s technical advice on the level 2 measures related to the format and content of KID disclosures for UCITS: methodology for the calculation of the synthetic risk and reward indicator Final Report PDF
230.14 KB
25/02/2015 2015/494 Best Execution under MiFID , Final Report PDF
761.62 KB
The European Securities and Markets Authority (ESMA) has conducted a peer review on how national regulators (national competent authorities or NCAs) supervise and enforce the MiFID provisions relating to investment firms’ obligation to provide best execution, or obtain the best possible result, for their clients when executing their orders. ESMA found that the level of implementation of best execution provisions, as well as the level of convergence of supervisory practices by NCAs, is relatively low. In order to address this situation a number of improvements were identified, including: • prioritisation of best execution as a key conduct of business supervisory issue; • the allocation of sufficient resources to best execution supervision; and • a more proactive supervisory approach to monitoring compliance with best execution requirements, both desk-based and onsite inspections. The review was conducted on the basis of information provided by 29 NCAs and complemented by on-site visits to the NCAs of France, Liechtenstein, Luxembourg, Malta, Poland and Spain.
26/07/2010 10-928 Central Repository (CEREP) reporting requirements Final Report PDF
51.53 KB
06/12/2010 10-1424 CESR Annual report according to article 21 of Regulation (EC) 1060/2009 on Credit Rating Agencies Final Report PDF
297.11 KB