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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
30/11/2006 06-260 Survey on the role of securities regulators in auditor oversight of public listed companies, and on their powers in relation to auditors of these companies Reference PDF
114 KB
11/06/2007 07-101 Survey on the direct communication of auditors with the public on the statutory audit of the annual or consolidated accounts of listed companies Reference PDF
78.42 KB
06/10/2010 10-1259 Supervisory notice- College of Supervisors announced for the Japan Credit Rating Agency Limited Reference PDF
55.8 KB
06/10/2008 08-734 Supervisory briefings- Inducements Reference PDF
321.58 KB
06/10/2008 08-733 Supervisory briefings- Conflicts of interest Reference PDF
65.94 KB
06/10/2008 08-735 Supervisory briefings- Best execution Reference PDF
74.02 KB
19/11/2010 10-1415 Summary of responses from investment firms and execution venues to CESR’s 2009 Best Execution Questionnaire (Sections 1-4) Reference PDF
346.24 KB
23/03/2001 ResolutionStockholm Stockholm Resolution Reference PDF
18.53 KB
Resolution of the European Council on more effective securities market regulation in the European Union Stockholm, 23 March 2001
11/04/2007 2004/109/EC - forms Standard forms to be used for the purposes of notifying the acquisition or disposal of major holdings of voting rights and of major holdings of financial instruments, and of notifying the activity of market makers in the context of Directive 2004/109/EC Reference PDF
1016.87 KB
This document contains the standard forms in all official languages.
18/05/2018 ESMA70-154-555 SMSC Terms of Reference Reference PDF
209.92 KB
24/08/2007 SP S&P response Reference PDF
587 KB
01/07/2016 2016/1064 RTS 22 Annex II National client identifiers for natural persons to be used in transaction reports Reference PDF
224.16 KB
19/06/2017 ESMA70-156-166 Response template consultation trading obligation MiFIR Reference DOCX
771 KB
06/05/2020 ESMA70-156-2803 Response form- SME Growth Markets , , Reference DOCX
771.99 KB
12/07/2019 ESMA70-156-1471 Response Form- CP review report_cost of market data and consolidated tape equity Reference DOCX
757 KB
28/09/2020 ESMA70-156-3844 Response form- CP on the functioning of OTFs , Reference DOCX
753.44 KB
03/02/2020 ESMA70-156-2347 Response form- CP on MiFIR report on SI Reference DOCX
755.71 KB
29/09/2020 ESMA74-362-887 Response form- CP MiFID II MiFIR review transaction reporting reference data Reference DOCX
759.27 KB
26/09/2022 ESMA70-156-6040 Response form- Consultation Paper- Market Outages Reference DOCX
771.73 KB
12/05/2021 ESMA70-156-4233 Response form Response form- Consultation Paper on the RTS 2 Annual Review Reference DOCX
768.94 KB