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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
24/01/2013 ESMA 2011 Annex 3 2011 Declaration of Assurance by the Executive Director of ESMA Reference PDF
30.51 KB
07/02/2013 2013/157 ESMA budget for 2013 Reference PDF
103.43 KB
05/04/2013 2013/455 2013 Regulatory Work Programme Reference PDF
562.57 KB
2013 Regulatory Work Programme The 2013 Regulatory Work Programme (RWP) is based on ESMA’s 2013 Work Programme, published in October 2012, and provides a detailed breakdown of the of the individual workstreams as outlined in the 2013 Work Programme.  The RWP is based on the draft proposals of the European Commission for a number of upcoming legislative texts including MiFIR, MAR etc, and the timelines and details for various work streams are subject to further revision once the European Union institutions have finalised the relevant legislation.The RWP should normally be published in conjunction with the annual Work Programme on which it is based.  However, the 2013 RWP was delayed due to uncertainty over several components of the EU’s legislative programme.  As this uncertainty has been prevalent over the last two years, ESMA will amend its procedures to allow it to publish the RWP in Q1 of the relevant year, rather than with its Work Programme the preceding autumn.The RWP was approved on 29 January 2013 by ESMA’s Board of Supervisors.
29/04/2013 2013/518 ESMA Chair and Executive Director- Key Dates Calendar Reference PDF
155.27 KB
05/07/2013 2013/ITMG/14 Terms of Reference IT Management and Governance Group Reference PDF
46.39 KB
19/07/2013 MOU ACER ESMA MoU between ESMA and ACER concerning the consultation and cooperation regarding their regulatory responsibilities in relation to EU wholesale energy market Reference PDF
207.61 KB
16/10/2013 2013/LCC/039 ESMA Specific Privacy Notice – Public procurement , Reference PDF
119.46 KB
16/10/2013 2013/LCC/Recruitment ESMA Specific Privacy Notice – Selections and Recruitments , Reference PDF
70.67 KB
02/12/2013 2013/1792 Call for expressions of interest regarding the establishment of the Consultative Working Group of the ESMA Market Data Reporting Working Group Reference PDF
98.24 KB
Deadline for applications is 3 January 2014.
31/12/2013 2013/1986 2013 Calendar of the Chair and Executive Director of ESMA Reference PDF
213.22 KB
In order to ensure transparency in their dealings with external stakeholders the Chair and Executive Director made an undertaking to the European Parliament to publish details of these meetings. This calendar is updated on a regular basis.
06/03/2014 2013/611 HR Key concepts of the AIFMD Reference PDF
182.79 KB
SmjerniceSmjernice o glavnim pojmovima AIFMD-a (Alternative Investment Fund Managers Directive/Direktive o upraviteljima alternativnim investicijskim fondovima)
25/03/2014 2014 Calendar 2014 Calendar of the Chair and Executive Director of ESMA Reference PDF
206.87 KB
In order to ensure transparency in their dealings with external stakeholders the Chair and Executive Director made an undertaking to the European Parliament to publish details of these meetings. This calendar is updated on a regular basis.
05/06/2014 2014/608 MMoU on Cooperation Arrangements and Exchange of Information , Reference PDF
205.85 KB

The European Securities and Markets Authority (ESMA) has published the text of a new multilateral memorandum of understanding (MMoU) between EEA national competent authorities, and between national competent authorities and ESMA which entered into force on 29 May 2014. It has been signed by 33 authorities in the securities and markets area. The new MMoU was agreed in view of the increasing internationalisation, harmonisation and interdependence of financial services and markets in the European Union. It is designed to facilitate cooperation arrangements and the exchange of information between national competent authorities, and between national competent authorities and ESMA, in the application of their responsibilities under Union law relating to the securities and markets area. It also updates and replaces a previous agreement on the Exchange of Information and Surveillance of Securities Activities agreed by the members of the Committee of European Securities Regulators (formerly the Forum of European Securities Commissions) entered into by those members on 26 January 1999. List of Signatories to MMoU on Cooperation Arrangements and Exchange of Information

18/06/2014 2014/639 Call for expressions of interest regarding the renewal of the Consultative Working Group of the ESMA Secondary Markets Standing Committee Reference PDF
131.06 KB
The European Securities and Markets Authority (ESMA) is looking to newly constitute a Consultative Working Group (CWG) for the ESMA Secondary Markets Standing Committee (SMSC) as the two-year-term of the existing CWG has recently expired. ESMA is therefore calling for expressions of interest from stakeholders to become a member of the CWG by 13 July 2014. The application form should be accompanied by a CV. The model European CV is recommended.It is optional for applicants, though recommended, to attach a letter of motivation.
23/09/2014 2014/1164 Annex Annex to the Statement by Steven Maijoor, Chair of ESMA to the ECON hearing, 23 September 2014 Final Report PDF
503.01 KB
01/10/2014 2014/1200 2015 Work Programme , , Reference PDF
500.54 KB
The European Securities and Markets Authority (ESMA) has published its Work Programme for 2015. The programme sets out how ESMA intends to achieve its statutory objectives of investor protection and stable and orderly functioning markets through its operational activities of convergence, risk monitoring and analysis, the single rulebook and supervision. The projected work programme is based on a budget of €38,639,000 and a staff base of 202 people as per the budget approved by ESMA’s Board of Supervisors on 6 February 2014 and subsequently submitted to the EU institutions. At the time of drafting, the budget prepared by the European Commission and sent to the EU Council and Parliament for ESMA in 2015 is for €33,627,920 and 186 people. In order to prepare for the eventuality that ESMA will receive fewer posts than planned for in the work programme, Annex 5 contains a list of the areas of work that ESMA would be unable to accomplish in 2015 with reduced resources.
06/11/2014 2014/1334 MiFID database- Contact emails of national competent authorities for market participants [updated] Reference PDF
138.29 KB

ESMA has established a list of national contacts, to which questions pertaining to the content of specific entries should be sent.  Please use this list to contact the relevant competent authority if you a have a query regarding shares which have been included in or ex-cluded from the list, the calculations for a specific entry or its status as liquid/not liquid.

19/12/2014 2014/1569 Annex Annex to Technical Advice on MiFID II and MiFIR- investor protection topics Reference PDF
962.39 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.
23/03/2015 2015/615 Call for interest IPISC-CWG renewal Reference PDF
187.49 KB
ESMA is today launching the process to renew the composition of the IPISC CWG. ESMA is therefore calling for expressions of interest from stakeholders. Application procedure, closing date Relevant stakeholders meeting the required selection criteria and wishing to apply for a position on the CWG are invited to submit, in English:. A completed application form (see separate document), and. A detailed curriculum vitae (CV), preferably in the EU CV format. It is optional for applicants to attach a motivation letter (2 pages maximum).. Unclear or incomplete applications will not be considered.. Applications must be submitted by email no later than 23 April 2015 to the following email addresses: IPISC.CWG.renewal2015@esma.europa.eu