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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
28/02/2014 2014/205 Call for expressions of interest: Group of Economic Advisers for ESMA’s Committee for Economic and Markets Analysis Reference PDF
158.95 KB
The European Securities and Markets Authority (ESMA) is seeking to appoint new members to its Group of Economic Advisors (GEA) for the Committee for Economic and Markets Analysis (CEMA). This follows the expiry of the term of the current GEA. CEMA has established the GEA in order to benefit from the expertise of stakeholders specialised in the topics of financial stability and general economic research related to financial markets. CEMA looks to this group to provide it with advice regarding our work related to financial stability and economic background analysis for the regulatory and supervisory tasks of ESMA. The closing date for application is 25 April 2014.  Application form
16/05/2014 2014/536 ESMA Risk Dashboard No.2, 2014 Final Report PDF
782.65 KB
05/06/2014 2014/608 MMoU on Cooperation Arrangements and Exchange of Information , Reference PDF
205.85 KB

The European Securities and Markets Authority (ESMA) has published the text of a new multilateral memorandum of understanding (MMoU) between EEA national competent authorities, and between national competent authorities and ESMA which entered into force on 29 May 2014. It has been signed by 33 authorities in the securities and markets area. The new MMoU was agreed in view of the increasing internationalisation, harmonisation and interdependence of financial services and markets in the European Union. It is designed to facilitate cooperation arrangements and the exchange of information between national competent authorities, and between national competent authorities and ESMA, in the application of their responsibilities under Union law relating to the securities and markets area. It also updates and replaces a previous agreement on the Exchange of Information and Surveillance of Securities Activities agreed by the members of the Committee of European Securities Regulators (formerly the Forum of European Securities Commissions) entered into by those members on 26 January 1999. List of Signatories to MMoU on Cooperation Arrangements and Exchange of Information

03/09/2014 2014/883 ESMA Risk Dashboard No. 3, 2014 Final Report PDF
763.54 KB
03/09/2014 2014/884 Report on Trends Risks Vulnerabilities No. 2, 2014 Final Report PDF
2.5 MB
16/11/2015 2015 Calendar 2015 Calendar of the Chair and Executive Director of ESMA Reference PDF
233.06 KB

In order to ensure transparency in their dealings with external stakeholders the Chair and Executive Director made an undertaking to the European Parliament to publish details of these meetings. This calendar is updated on a regular basis.

14/09/2015 2015/1290 Report on Trends, Risks and Vulnerabilities No.2, 2015 Final Report PDF
2.88 MB
14/09/2015 2015/1291 Risk Dashboard No. 3, 2105 Reference PDF
848.31 KB
14/09/2015 2015/1348 Annex to the Statement by Steven Maijoor- ECON Hearing 14 September 2015 Reference PDF
399.76 KB
07/10/2015 2015/1475 ESMA 2016 Work Programme Reference PDF
533.1 KB
05/01/2016 2015/1791 Peer Review Report Compliance with SSR as regards Market Making activities Report PDF
615.09 KB
16/12/2015 2015/1882 Risk Dashboard No. 4, 2015 Reference PDF
931.3 KB
22/12/2015 2015/1905 MAD Supervisory Practices peer review follow-up , Final Report PDF
239.64 KB
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.
11/03/2015 2015/526 Report on Trends, Risks and Vulnerabilities No 1 2015 Final Report PDF
2.59 MB
11/03/2015 2015/527 ESMA Risk Dashboard No 1 2015 Final Report PDF
798.36 KB
18/03/2015 2015/592 Automated Trading Guidelines- ESMA peer review among National Competent Authorities Final Report PDF
930.33 KB
15/06/2015 2015/935 ESMA Strategic Orientation 2016-2020 Reference PDF
284.05 KB
22/12/2015 2015/WP/2015/2 Working Paper No.2, 2015 “Monitoring systemic risk in the hedge fund sector” Final Report PDF
872.37 KB

The working paper proposes new measures for systemic risk in the hedge fund sector. These measures are based on the ability of hedge funds to influence (be influenced by) the performance trend of the entire hedge fund sector. The proposed measures display a high ability to identify periods of financial distress, are robust to modifications in the underlying econometric model and deliver an innovation in the monitoring of systemic risks in the fund industry.

25/02/2016 2016 Calendar 2016 Calendar of the Chair and Executive Director of ESMA Reference PDF
255.52 KB