ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
11/12/2015 2015/1858 Final Report- Draft ITS under MiFID II Final Report PDF
972.8 KB
30/11/2015 2015/1783 Final Report on complex debt instruments and structured deposits Final Report PDF
409.89 KB
28/09/2015 2015-ESMA-1464 Annex II Annex II- CBA- draft RTS and ITS on MiFID II and MiFIR Final Report PDF
5.07 MB
25/02/2015 2015/494 Best Execution under MiFID , Final Report PDF
761.62 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.
24/07/2012 2011/39 Update on measures adopted by competent authorities on short selling Statement PDF
287.67 KB
This is the PDF version of the statement. Please also see the word version of the statement which contains all links to the measures curretly in place.
06/07/2012 2012/387 Final report Guidelines on certain aspects of the MiFID suitability requirements , Final Report PDF
444.15 KB
21/12/2010 10-1210 Feedback statement- CESR Technical Advice to the European Commission in the Context of the MiFID Review-Standardisation and Organised Platform Trading of OTC Derivatives Final Report PDF
281.37 KB
10/12/2010 10-1301 CESR’s supplementary report related to developments of certain third country GAAPs with regard to their equivalence under Transparency Directive and Prospectus Regulation Final Report PDF
808.67 KB
06/12/2010 10-1424 CESR Annual report according to article 21 of Regulation (EC) 1060/2009 on Credit Rating Agencies Final Report PDF
297.11 KB
29/11/2010 10-123 Executive summary of the Report Prospectus Directive Selective Mapping Final Report PDF
182.64 KB
03/11/2010 09-1218 21st meeting of the Market Participants Consultative Panel Final Report PDF
129.33 KB
03/11/2010 10-1159 23rd meeting of the Market Participants Consultative Panel Final Report PDF
122.85 KB
26/10/2010 10-1083 Follow-up Statement on Application of Disclosure Requirements Related to Financial Instruments in the 2009 Financial Statements Statement PDF
282.3 KB
25/10/2010 10-1151 9th Extract from EECS’s Database of Enforcement Decisions Final Report PDF
136.48 KB
13/10/2010 MiFID Review Compiled Version 2nd set CESR second set of Technical Advice to the European Commission in the Context of the MiFID Review and Responses to the European Commission Request for Additional Information Final Report PDF
705.33 KB
13/10/2010 10-1096 Final advice- Standardisation and Organised Platform Trading of OTC Derivatives Final Report PDF
221.46 KB
13/10/2010 10-882 Final Advice- Post-trade Transparency Standards Final Report PDF
210.99 KB
13/10/2010 10-1254 Responses to the Commission’s request for additional information in relation to the MiFID Review Final Report PDF
309.77 KB
13/10/2010 10-975 Feedback statement- CESR Technical Advice to the European Commission in the Context of the MiFID Review: Equity Markets Final Report PDF
397.52 KB
13/10/2010 10-851 Feedback statement- CESR Technical Advice to the European Commission in the Context of the MiFID Review: Non-equity markets Transparency Final Report PDF
307.74 KB