ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
11/12/2014 2014/1485 MiFID – Conduct of Business, fair, clear and not misleading information Final Report PDF
614.16 KB
The European Securities and Markets Authority (ESMA) has conducted a peer review of how national regulators (national competent authorities or NCAs) supervise MiFID conduct of business rules on providing fair, clear and not misleading information to clients. The peer review focused on NCAs’ organisation, supervisory approaches, monitoring and complaints handling in relation to information and marketing communications under MiFID. The Report found that there was overall a high degree of compliance amongst NCAs with the good practices identified in these key areas. However, a variety of approaches were observed, leading to different intensity of supervision. A number of areas for improvement were identified. They include: • enhanced use of on-site inspections and thematic reviews; • a specific focus on conduct of business issues in firms’ risk assessments; and • greater efforts to detect failings by firms in a timely manner. The review was conducted on the basis of information provided by NCAs in a self-assessment questionnaire and complemented by on-site visits to the NCAs of Cyprus, the Czech Republic, Germany, Italy, Portugal, and the United Kingdom.
09/10/2019 ESMA70-156-1010 On the application of waivers and deferrals Annual Report PDF
7.3 MB
29/11/2017 ESMA42-111-4285 Peer review on certain aspects of the compliance function under Mi-FID I , Final Report PDF
1.25 MB
30/07/2018 ESMA42-111-4479 Peer review on the Guidelines on ETFs and other UCITS issues Final Report PDF
1.11 MB
30/06/2016 2016/1055 Peer Review Report on Prospectus Approval Process , Final Report PDF
1.23 MB
15/04/2013 ESMA/2013/476 Peer Review–Money Market Fund Guidelines Final Report PDF
763.46 KB
10/01/2019 ESMA71-99-1081 Press release- ESMA report finds investment product performance highly impacted by charges , Annual Report PDF
159.37 KB
24/05/2012 2012/300 Prospectus Directive – Good Practices in the approval process Final Report PDF
467.38 KB
The European Securities and Markets Authority (ESMA) has published today “Prospectus Directive – Good Practices in the approval process“,  a peer review report on the application of regulatory good practices by national supervisory authorities - competent authorities (CA)  when approving investment prospectuses.The review was conducted using good practice criteria that ESMA developed on selected areas of the Prospectus Directive dealing with the approval process for investment prospectuses.  The prospectuses provide investors with easy to understand and relevant information on investment products.  Peer review reports on national regulators’ procedures contribute to ESMA’s objective of fostering supervisory convergence and achieving a level playing field between jurisdictions.
22/11/2007 07-693 Report on Administrative Measures and Sanctions available in Member States under the Market Abuse Directive (MAD) Final Report PDF
3.44 MB
03/01/2013 2012/875 Report to the European Parliament, the Council and the Commission on the budgetary impli-cations of Regulation (EU) No 236/2012 on short selling and certain aspects of credit default swaps Final Report PDF
532.88 KB
28/03/2011 2011/22 Report- ESMA Data on Prospectuses Approved and Passported- July 2010 to December 2010 , Final Report PDF
134.79 KB
07/07/2011 2011/194 Report- Mapping of the Transparency Directive Final Report PDF
1.15 MB
Report - Mapping of the Transparency Directive 
09/02/2017 ESMA70-872942901-3 Revised ESMA draft MiFID ITS — position reporting of commodity derivatives Technical Standards PDF
184.48 KB
12/12/2019 ESMA42-111-4916 STOR Peer Review Report , Final Report PDF
1.17 MB
07/04/2016 2016/585 Suitability Peer Review- Annex , Final Report PDF
987.81 KB
07/04/2016 2016/584 Suitability Peer Review- Final Report , Final Report PDF
459.35 KB
18/01/2011 2011/26 Summary Report on the mapping of contingency measures Final Report PDF
93.63 KB
01/07/2013 2013/806 Supervisory Practices under MAD- Mapping Report , Final Report PDF
315.44 KB
ESMA's Mapping Report on Supervisory Practices under MAD sets out the situation in each Member State as regards their implementation of the various requirements of the Market Abuse Directive.
01/07/2013 2013/805 Supervisory Practices under MAD- Peer review report and Good Practices , Final Report PDF
1.17 MB
ESMA's peer review of the supervisory practices EEA national competent authorities (NCAs) covers how national authorities enforce the requirements of the Market Abuse Directive (MAD).  The Directive deals with the prevention of the dissemination of misleading information, the breach of reporting obligations and market abuse.
05/03/2018 ESMA70-145-386 Technical Advice on the evaluation of certain elements of the Short Selling Regulation Final Report PDF
1.72 MB