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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
07/10/2014 2014-1213 Guidelines compliance table for Guidelines on remuneration policies and practices (MiFID) Compliance table PDF
127.73 KB
19/12/2014 2014/1571 Final Report on draft Implementing Technical Standards on main indices and recognised exchanges under the Capital Requirements Regulation Technical Standards PDF
281.16 KB
The European Securities and Markets Authority (ESMA) has developed draft Implementing Technical Standards specifying main indices and recognised exchanges as required under Paragraph 8 of Article 197 of Regulation (EU) 575/2013 (Capital Requirements Regulation). These have now been submitted to the European Commission submitted for endorsement of the draft ITS.It has 3 months to make this decision.
23/12/2014 JC/2014/092 Draft RTS on risk concentration and intra-group financial transactions under Financial Conglomerates Directive Technical Standards PDF
819.76 KB
18/02/2015 JC/GL/2014/43 Appendix 1 Compliance table for JC guidelines for complaints-handling for the securities (ESMA) and banking (EBA) sectors , Compliance table PDF
280.37 KB
The table contains details of the competent authorities* who comply or intend to comply with the ESAs’ Joint Guidelines on complaints-handling for the securities (ESMA) and banking (EBA) sectors.
27/03/2015 2015/613 Draft technical standards under Article 10a(8) of MiFID on the assessment of acquisitions and increases in qualifying holdings in investment firms Technical Standards PDF
142.57 KB
Article 10b(4) of the Markets in Financial Instruments Directive (MiFID ) requires Member States to make publicly available the information necessary to carry out the assessment of a proposed acquirer of an investment firm. This information must be provided by the proposed acquirer at the time of the initial notification. This information is aimed at ensuring that competent authorities are provided with adequate and proportionate information in order to assess the acquisition. Article 10a of MiFID, as amended by Article 6(4) of the Omnibus Directive, requires ESMA to draft: - regulatory technical standards (RTS) to establish an exhaustive list of information referred to in Article 10b(4) of MiFID; and- implementing technical standards (ITS) to determine standard forms, templates and procedures for the cooperation and exchange of information between the relevant competent authorities as referred to in Article 10(4) of MiFID. ESMA had submitted the draft RTS and ITS to the European Commission (Commission) by 1 January 2014, as required. However, following the original submission to the Commission, a few changes have been necessary because of: - the adoption of a Corrigendum to MiFID to include a cross-reference to paragraph 4 of Article 10a of MiFID, instead of paragraph 4 of Article 10b of MiFID; and- the publication of MiFID II which repeals MiFID but confirms the empowerment to adopt the same RTS/ITS. ESMA submitted the updated draft RTS and ITS to the Commission on 27 March 2015, taking into consideration the points above and has included a new Article to cover the information to the provided by the proposed acquirer to enable the competent authority to assess “the reputation and experience of any person who will direct the business of the investment firm as a result of the proposed acquisition”.The Commission has three months to decide whether to endorse ESMA’s draft technical standards
30/06/2015 2015/1006 Final Report on MiFID II-MiFIR draft technical standards on authorisation, passporting, registration of third country firms and cooperation between competent authorities Technical Standards PDF
357.16 KB
01/07/2015 2015/1014 Draft RTS on prospectus related issues under the Omnibus II Directive Technical Standards PDF
949.89 KB
14/08/2015 2015/1261 Guidelines compliance table- Guidelines on the application of definitions C6 and C7 under MiFID I Compliance table
18/09/2015 2015/1409 Draft Implementing Technical Standards on penalties and measures under Directive 2009/65/EC (UCITS Directive) Technical Standards PDF
339.52 KB
25/09/2015 2015/1460 ESMA Final Report on DRAFT RTS on EEAP Technical Standards PDF
1.62 MB
28/09/2015 2015-ESMA-1464 Final Report- draft RTS and ITS on MIFID II and MiFIR Technical Standards PDF
2.74 MB
28/09/2015 2015-ESMA-1464 Annex I 2015-ESMA-1464 Annex I- draft RTS and ITS on MiFID II and MiFIR Technical Standards PDF
2.85 MB
28/09/2015 2015-ESMA-1455 Final Report MAR TS Technical Standards PDF
1.77 MB
28/09/2015 2015/1457 Final Report CSDR TS on CSD Requirements and Internalised Settlement Technical Standards PDF
467.07 KB
28/09/2015 2015/1457 - Annex II Annex II- CSDR TS on CSD Requirements and Internalised Settlement Technical Standards PDF
1.44 MB
28/09/2015 2015/1457 Annex III Annex III- CSDR TS on CSD Requirements and Internalised Settlement Technical Standards PDF
910.14 KB
02/10/2015 2015/1481 Final Report Draft technical standards on the Clearing Obligation – Index Credit Derivatives Technical Standards PDF
781.24 KB
22/12/2015 JC/2015/087 Compliance Table GL financial conglomerates , Compliance table PDF
242.92 KB
16/02/2016 2016/273 Comply or explain table for G&R on CCP college , Compliance table PDF
129.84 KB
16/02/2016 2016/274 Comply or explain table for G&R on IO arrangements , Compliance table PDF
121.43 KB