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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
13/07/2017 ESMA71-99-526 ESMA issues sector-specific principles on relocations from the UK to the EU27 , , Press Release PDF
157.73 KB

The European Securities and Markets Authority (ESMA) has published three Opinions setting out sector-specific principles in the areas of investment firms, investment management and secondary markets, aimed at fostering consistency in authorisation, supervision and enforcement related to the relocation of entities, activities and functions from the United Kingdom .

The opinions, building on the general opinion issued in May, are practical tools to support supervisory convergence in the context of requests from UK financial market participants seeking to relocate to the EU27. They are addressed to national competent authorities (NCAs) and are relevant for market participants considering relocating.

They provide guidance to NCAs aimed at ensuring a consistent interpretation of the requirements relating to authorisation, supervision and enforcement in order to avoid the development of regulatory and supervisory arbitrage risks.

18/07/2017 ESMA71-99-521 ESMA recommends improvements in financial information enforcement , , Press Release PDF
148.06 KB
26/09/2017 ESMA71-99-599 EBA and ESMA provide guidance to assess the suitability of management body members and key function holders , , , Press Release PDF
243.97 KB

The European Banking Authority (EBA) and the European Securities and Markets Authority (ESMA) have published their joint Guidelines to assess the suitability of members of management bodies and key function holders.

09/10/2017 ESMA71-99-613 ESMA highlights importance of LEI for MiFIDII/MiFIR compliance , Press Release PDF
145.53 KB

The European Securities and Markets Authority (ESMA) has published a Briefing on the Legal Entity Identifier (LEI) as part of its efforts to raise industry awareness and facilitate compliance with the LEI requirements under MiFID II ahead of its 3 January 2018 launch.

ESMA expects market participants to take all necessary steps to ensure full compliance with the LEI requirements under MiFID II. Based on its previous experience with EMIR reporting, ESMA urges reporting entities not to delay in addressing this important matter, as advance preparation will help in avoiding backlogs and ensuring that all market participants are ready for the new regime.

29/11/2017 ESMA71-99-661 Peer Review on MiFID Compliance Function Press Release , , Press Release PDF
149.89 KB
06/12/2017 ESMA50-164-1173 Press Release MiFID/MAR Transitional Transparency Calculations , , , , Press Release PDF
225.44 KB
09/01/2018 ESMA71-99-925 ESMA Double Volume Cap delay , Press Release PDF
216.16 KB
18/01/2018 ESMA71-99-930 Product Intervention Call for Evidence PR , Press Release PDF
138.63 KB
07/02/2018 ESMA71-99-944 ESMA publishes 2018 Supervisory Convergence Work Programme , Press Release PDF
243.98 KB
12/02/2018 ESMA71-99-946 Press release- ESAs warn consumers of risks in buying virtual currencies Press Release PDF
128.93 KB
07/03/2018 ESMA71-99-953 Press release: ESMA publishes double volume cap data , Press Release PDF
137.68 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
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02/05/2018 ESMA71-99-971 Press release on MiFID II bond transparency calculations Press Release PDF
150.66 KB
30/05/2018 ESMA71-99-987 PR on EBA-ESMA statement on retail holders of bail-inable instruments , , Press Release PDF
281.95 KB
01/06/2018 ESMA71-99-973 ESMA71-99-973 Press Release Product Intervention EUOJ publication , , Press Release PDF
241.5 KB
13/07/2018 ESMA71-99-1005 ESMA consults on tick size regime PR , Press Release PDF
149.16 KB
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
09/11/2018 ESMA71-99-1054 ESMA launches call for evidence on periodic auctions for equity instruments , Press Release PDF
148.54 KB