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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
18/02/2021 ESMA WP-2021-03 ESMA working paper on MiFID II research unbundling Report PDF
1.18 MB

Presentation given during the Webinar organised on 25 February 2021

ESMA50-165-1308_RESEARCH_UNBUNDLING_PRESENTATION.PDF (europa.eu)

30/11/2020 ESMA-50-165-1355 ASR on EU Securities markets- 2020 Report PDF
1.69 MB

This document has been updated on 30 November 2020 to include footnotes indicating the cut off date for the reference and transparency data used as a basis for certain analyses.

04/02/2019 ESMA20-95-1105 2019 Regulatory Work Programme , , Report PDF
308.68 KB
09/02/2018 ESMA20-95-839 Risk Assessment Work Programme 2018 Report PDF
452.74 KB
20/12/2019 ESMA32-334-150 Report On the use of Alternative Performance Measures and on the compliance with ESMA’s APM Guidelines , Report PDF
800.36 KB
04/06/2020 ESMA34-39-1042 Supervisory briefing on the supervision of costs in UCITS and AIFs , Report PDF
162.41 KB
18/10/2021 ESMA42-110-3265 Report on the independence of National Competent Authorities Report PDF
458.92 KB
15/07/2020 ESMA42-111-4128 PEER REVIEW ON GUIDELINES ON ENFORCEMENT OF FINANCIAL INFORMATION- Country report DE , , Report PDF
285.02 KB
18/07/2017 ESMA42-111-4138 Peer Review on Guidelines on Enforcement of Financial Information , Report PDF
1.86 MB
17/10/2019 ESMA42-111-4895 EMIR data quality peer review , Report PDF
862.01 KB
03/11/2020 ESMA42-111-5349 Fast Track Peer Review Report- Wirecard , , Report PDF
1.33 MB
18/05/2017 ESMA42-113-627 Follow-up Report to the Peer Review on MiFID Conduct of Business rules relating to fair, clear and not misleading information Report PDF
960.69 KB
07/02/2018 ESMA42-114-540 Supervisory Convergence Work Programme 2018 Report PDF
611.01 KB
11/01/2017 ESMA42-1643088512-2962 ESMA42-1643088512-2962 Follow-up Report to the Peer Review on Best Execution , , Report PDF
774.17 KB
07/02/2017 ESMA50-1121423017-285 Report on Distributed Ledger Technology Applied to Securities Markets Report PDF
508.75 KB
09/01/2019 ESMA50-157-1391 Advice on Initial Coin Offerings and Crypto-Assets Report PDF
882.48 KB
07/06/2017 ESMA50-158-457 ESMA response to the Commission Consultation Paper on Fintech: A more competitive and innovative financial sector Report PDF
712.26 KB
  1. ESMA welcomes the opportunity to respond to the Commission Consultation paper on Fintech: a more competitive and innovative financial sector (hereafter “the Consultation”).
  2. Fintech and, technological innovation in general, have been the drivers of a number of developments in the financial sector in recent years. Indeed, new forms of services and businesses such as automated advice or crowdfunding have emerged. ESMA sees these developments as a positive evolution as long as they are aimed at improving consumer financial experience and facilitate financial inclusion. ESMA would also want to stress that it adheres to the core principles (technological neutrality, proportionality and market integrity) highlighted by the Commission and agrees that any EU policies aiming to ensure the financial sector takes advantage of cutting-edge technologies, while remaining sound and safe for investors, need to integrate these principles.
  3. In this response, ESMA wishes to share with the Commission some reflections on a number of topics mentioned in the Consultation which appear relevant to ESMA:
    • Artificial intelligence and big data analytics for automated advice and businesses;
    • Crowdfunding;
    • Reg Tech;
    • Outsourcing and cloud computing;
    • Distributed ledger technology;
    • Role of regulation and supervisors; and
    • Role of industry: standards and interoperability
01/06/2018 ESMA50-162-214 Product Intervention Analysis Binary Options , Report PDF
776.15 KB
01/06/2018 ESMA50-162-215 Product Intervention Analysis CFDs , Report PDF
1.26 MB
12/07/2019 ESMA50-164-2430 Report on the Licensing of FinTech business models Report PDF
585.36 KB