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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
17/12/2012 2011/188 FR Coopération, y compris délégation entre l’AEMF, les autorités compétentes et les autorités compétentes sectorielles, conformément au règlement (UE) n° 513/2011 sur les agences de notation de crédit Guidelines and Technical standards Guidelines & Recommendations PDF
202.62 KB		 Coopération, y compris délégation entre l’AEMF, les autorités compétentes et les autorités compétentes sectorielles, conformément au règlement (UE) n° 513/2011 sur les agences de notation de crédit
30/03/2021 ESMA71-99-1622 CRA Enforcement Case Moodys March 2021 Board of Supervisors, Credit Rating Agencies, Press Releases Press Release PDF
134.39 KB
23/07/2018 ESMA71-99-1017 CRA fine- ESMA fines five banks Credit Rating Agencies, Press Releases Press Release PDF
223.54 KB
14/12/2020 ESMA 33-9-383 CRA Market Share Calculation 2020 Credit Rating Agencies Annual Report PDF
511.26 KB
04/12/2018 ESMA33-9-281 CRA market share report Credit Rating Agencies Annual Report PDF
827.25 KB
02/04/2013 2013/74 RO Derogări pentru activităţile de formator de piaţă şi operaţiunile de pe piaţa primară conform Regulamentului (UE) nr. 236/2012 al Parlamentului European şi al Consiliului privind vânzarea în lipsă şi anumite aspecte ale swapurilor pe riscul de credit Short Selling, Guidelines and Technical standards Guidelines & Recommendations PDF
534.03 KB
28/09/2012 2012/388 ES Directrices acerca de ciertos aspectos de los requisitos del órgano de verificación del cumplimiento de la MiFID MiFID - Investor Protection, Guidelines and Technical standards Guidelines & Recommendations PDF
359.25 KB
22/12/2014 JC/GL/2014/01 ES Directrices comunes sobre la convergencia de las prácticas supervisoras con respecto a la coherencia de los acuerdos de coordinación de la supervisiónde conglomerados financieros Guidelines and Technical standards, Joint Committee Guidelines & Recommendations PDF
181.09 KB
28/10/2014 2014-1293es Directrices de la ESMA sobre la supervisión de información financiera Guidelines and Technical standards Guidelines & Recommendations PDF
424.17 KB		 ES - Texto traducido por el Centro de Traducción de los Órganos de la Unión Europea
21/08/2012 2012/387 ES Directrices relativas a determinados aspectos de los requisitos de idoneidad de la MiFID MiFID - Investor Protection, Guidelines and Technical standards Guidelines & Recommendations PDF
347.12 KB
18/12/2012 2012/832 ES Directrices sobre fondos cotizados (ETF) y otras cuestiones relativas a los OICVM Guidelines and Technical standards Guidelines & Recommendations PDF
344.66 KB		 Directrices sobre fondos cotizados (ETF) y otras cuestiones relativas a los OICVM
01/08/2014 2014/937 es Directrices sobre fondos cotizados (ETF) y otras cuestiones relativas a los OICVM Guidelines and Technical standards, Fund Management Guidelines & Recommendations PDF
351.34 KB		 This is an update of the guidelines originally published in 2012.  The new version of the guidelines modifies the original provision on diversification of collateral received by UCITS in the context of efficient portfolio management techniques and over-the-counter financial derivative transactions.
25/08/2014 JC/2014/43 es Directrices sobre la gestión de quejas y reclamaciones para los sectores de valores (ESMA) y bancario (ABE) Joint Committee, Guidelines and Technical standards Guidelines & Recommendations PDF
157.17 KB		 The European Securities and Markets Authority (ESMA) and the European Banking Authority (EBA) published today their Joint Committee final Report on guidelines for handling consumer complaints in the securities and banking sectors. The document aims to increase market confidence and for the benefit of consumers and firms alike it will ensure a harmonised approach to handling complaints for all 28 EU Member States and across all financial services sectors.The final report published today is part of the efforts of the European Supervisory Authorities to bring further supervisory convergence across the securities and banking sectors. It was developed on the basis of the existing complaints-handling guidelines established by EIOPA (the European Insurance and Occupational Pensions Authority) for the insurance sector. The report was launched for a public consultation last year and this final version takes into consideration the feedback received.ESMA and the EBA consider that these guidelines will ensure a consistent approach to complaints-handling across the EU. Consumers can purchase financial services and products in the investment, banking and insurance sectors across the entire EU Single Market and these guidelines will allow them to refer to a single set of complaints-handling arrangements. EU consumers will therefore be able to rely on the same approach irrespective of what type of product they have purchased and where they have purchased it.In addition to strengthening consumer protection -a key statutory objective for ESMA and for the EBA-, the guidelines will also allow firms, some of which sell products from more than one sector across the EU, to streamline and standardise their own complaints-handling arrangements. National regulators too will be able to supervise the same harmonised requirements across all sectors of financial services in their own jurisdictions.The guidelines will be translated into the official languages of the European Union (EU) and they will become applicable two months after the date of publication of their translations.
23/06/2015 2015/609 ES Directrices sobre la información periódica que deben presentar a la AEVM las agencias de calificación crediticia Guidelines and Technical standards, Credit Rating Agencies Guidelines & Recommendations PDF
168.16 KB		 ES - Texto traducido por el Centro de Traducción de los Órganos de la Unión Europea
03/07/2013 2013/232 ES Directrices sobre las políticas remunerativas adecuadas con arreglo a la DGFIA Guidelines and Technical standards Guidelines & Recommendations PDF
810.62 KB		 Directrices sobre las políticas remunerativas adecuadas con arreglo a la DGFIA
27/03/2014 2014/298 ES Directrices sobre los acuerdos de cooperación e intercambio de información Guidelines and Technical standards Guidelines & Recommendations PDF
410.27 KB		 Directrices sobre los acuerdos de cooperación e intercambio de información—entre las autoridades competentes, y entre las autoridades competentes y la AEVM Texto traducido por el Centro de Traducción de los Órganos de la Unión Europea
28/03/2012 2012/197 es Directrices sobre medición de riesgos y estimación de la exposición global de ciertos tipos de OICVM estructuradas Fund Management, Guidelines and Technical standards Guidelines & Recommendations PDF
267.49 KB
10/06/2013 2013/322 ES Directrices y recomendaciones para establecer evaluaciones coherentes, eficientes y eficaces de los acuerdos de interoperabilidad Guidelines and Technical standards Guidelines & Recommendations PDF
271.86 KB		 Directrices y recomendaciones para establecer evaluaciones coherentes, eficientes y eficaces de los acuerdos de interoperabilidad
04/09/2014 2014/1133 es Directrices y recomendaciones relativas a la aplicación de los Principios del CSPL-OICV relativos a las Infraestructuras de los Mercados Financieros en relación con las entidades de contrapartida central Guidelines and Technical standards Guidelines & Recommendations PDF
268.75 KB		 ES - Texto traducido por el Centro de Traducción de los Órganos de la Unión Europea
03/10/2013 2013/1390 ES Directrices y recomendaciones relativas a los acuerdos escritos entre miembros de colegios de ECC Guidelines and Technical standards Guidelines & Recommendations PDF
229.33 KB

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