ESMA LIBRARY

The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
53
DOCUMENTS

REFINE YOUR SEARCH

Sections

Type of document

Your filters
MiFID - Investor Protection X Short Selling X Management Board X Warnings and publications for investors X Press Release X
Reset all filters
Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
25/02/2015 2015/495 ESMA publishes review on best execution supervisory practices under MiFID , , Press Release PDF
112.68 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.
25/07/2016 2016/1167 Press release- ESMA issues warning on sale of speculative products to retail investors Press Release PDF
147.01 KB
05/10/2016 2016/1438 ESMA consults on product governance guidelines to safeguard investors , Press Release PDF
152.24 KB
11/10/2016 2016/1458 ESMA to focus on supervisory convergence issues in 2017 , , , Press Release PDF
230.38 KB

The European Securities and Markets Authority (ESMA) has published its 2017 Work Programme which sets out its priorities and areas of focus for 2017 in support of its mission to enhance investor protection and promote stable and orderly financial markets.

The programme reflects the shift in focus of ESMA’s work, from building the single rulebook, towards ensuring its consistent application across the European Union (EU), as outlined in its 2016-2020 Strategic Orientation. The key areas of focus under ESMA’s activities of supervisory convergence, assessing risks, single rulebook and direct supervision will be:

  • Converging supervisory practices on the implementation of MiFIDII/MiFIR ;
  • Focusing on data quality;
  • Level 2 work on the Benchmarks Regulation and on various initiatives under the umbrella of the Capital Markets Union; and
  • Directly supervising credit rating agencies (CRA) and trade repositories (TR), with a particular focus on their ancillary activities given the trend of combining ancillary and core services.
15/12/2016 2016/1656 Press release- ESMA appoints new member to its Management Board , Press Release PDF
143.86 KB
07/04/2016 2016/582 ESMA finds room for improvement in national supervision of investment advice to retail clients , , Press Release PDF
107.49 KB
02/06/2016 2016/903 ESMA reminds firms of responsibilities when selling bail-in securities Press Release PDF
145.75 KB
27/03/2018 ESMA71-98-128 Press release- ESMA agrees to prohibit binary options and restrict CFDs to protect retail investors , Press Release PDF
235.94 KB
bgcsdadeelesetfifrhrhuitltlvmtnlplptroskslsv
24/08/2018 ESMA71-99-1026 ESMA to renew prohibition on binary options for a further three months , Press Release PDF
148.63 KB
28/09/2018 ESMA71-99-1041 ESMA to renew restriction on CFDs for a further three months , Press Release PDF
148.81 KB
09/11/2018 ESMA71-99-1057 ESMA renews binary options prohibition for a further three months from 2 January 2019 , Press Release PDF
126.47 KB
18/02/2019 ESMA71-99-1057 ESMA to renew prohibition on binary options for a further three months Press Release PDF
129.84 KB
19/12/2018 ESMA71-99-1078 ESMA renews CFD measures from February 1 , Press Release PDF
172.74 KB
19/12/2018 ESMA71-99-1085 Press release- ESMA consults on measures to promote sustainability in EU capital markets , , Press Release PDF
125.69 KB
27/03/2019 ESMA71-99-1130 ESMA renews CFD measures from 1 May 2019 , Press Release PDF
103.57 KB
02/04/2019 ESMA71-99-1138 ESMA issues four positive opinions on national product intervention measures , Press Release PDF
98.12 KB
11/07/2019 ESMA71-99-1193 ESMA reappoints MB members July 2019 and SC extension , , , Press Release PDF
95.43 KB
01/10/2019 ESMA71-99-1220 ESMA 2020 WP , , , , Press Release PDF
106.92 KB
16/03/2020 ESMA71-99-1291 ESMA requires net short position holders to report positions of 0.1% and above , , , Press Release PDF
82.58 KB
06/04/2020 ESMA71-99-1301 ESMA report stresses impact of costs on retail investor benefits , , Press Release PDF
109.54 KB