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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
19/12/2014 2014/1569 Annex Annex to Technical Advice on MiFID II and MiFIR- investor protection topics Reference PDF
962.39 KB
02/05/2016 2016/666 ANNEX Annex- Opinion on draft RTS 2 non-equity transparency Opinion PDF
633.28 KB
30/05/2016 2016/730 ANNEX Annex- Opinion on draft RTS 20 on ancillary activity Opinion PDF
220.42 KB
02/05/2016 2016/668 ANNEX Annex- Opinion on draft RTS 21 position limits Opinion PDF
124.02 KB
12/01/2012 2012/3 Annual report on the application of the Regulation on credit rating agencies as provided by Article 21(5) and Article 39a of the Regulation (EU) No 1060/2009 as amended by Regulation No 1095/2010 Final Report PDF
141.98 KB
This is the first report under the new CRA regulation, however, please note that CESR published a report about the application of the Regulation in the EU and, in particular, on the implementation of the requirements established in Annex I of the Regulation on 6 December 2010 (CESR/10-1424), according to Article 21(4) of the Regulation which was subsequently amended by Regulation No (EC) 513/2011. At the time of publication, 16 CRA's have been registered.
18/03/2013 2013/308 Annual report on the application of the Regulation on credit rating agencies- 2012 Final Report PDF
601.08 KB
This is the second annual report on the application of the Credit Rating Agencies Regulation. 
18/07/2016 2016/1139 APPLICATION FORM Application form for CDTF CWG Reference DOCX
35.9 KB
04/07/2016 2016/1068 APPLICATION FORM Application form for SMSC CWG Reference DOCX
35.75 KB
17/07/2018 ESMA70-154-651 Application form- SMSC CWG Renewal 2018 Vacancy DOCX
37.81 KB
07/02/2014 2014/154 LV Ar ieguldījumiem sarežģītos produktos saistītie riski , Investor Warning PDF
435.59 KB
01/10/2013 2013/606 LT Atlyginimų nustatymo politika ir praktika (FPRD) , Guidelines & Recommendations PDF
268.28 KB
01/10/2013 2013/606 LV Atlīdzības politika un prakse (FITD) , Guidelines & Recommendations PDF
339.96 KB
07/02/2014 2014/154 HU Az összetett termékekbe történő befektetések kockázatai , Investor Warning PDF
384.08 KB
19/11/2019 ESMA71-319-154 Banking and the MiFID II review , , Speech PDF
135.75 KB
30/04/2019 ESMA70-155-3655 Belgian Power Physical Base position limit opinion Opinion PDF
261.43 KB
01/10/2013 2013/606 NL Beloningsbeleid en beloningspraktijken (MiFID) , Guidelines & Recommendations PDF
319.71 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.
27/03/2019 ESMA35-43-1862 BO Renewal Decision 3 Notice Reference PDF
83.42 KB
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03/10/2018 ESMA70-154-803 BoS Decision Notice AT Guidelines Withdrawal , Guidelines & Recommendations PDF
512.94 KB
21/07/2016 2016/1131 BoS Decision on Fitch Ratings Limited 21 July 2016 , Decision PDF
108.21 KB