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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
17/12/2012 2011/188 IT Cooperazione, compresa la delega, fra AESFEM, autorità competenti e autorità settoriali competenti ai sensi del regolamento (UE) n. 513/2011 del Parlamento europeo e del Consiglio, dell'11 maggio 2011, recante modifica del regolamento (CE) n. 1060/2009 re Guidelines & Recommendations PDF
199.35 KB
Cooperazione, compresa la delega, fra AESFEM, autorità competenti e autorità settoriali competenti ai sensi del regolamento (UE) n. 513/2011 del Parlamento europeo e del Consiglio, dell'11 maggio 2011, recante modifica del regolamento (CE) n. 1060/2009 re
17/12/2012 2011/188 PT Cooperação incluindo delegação entre a ESMA, as autoridades competentes e as autoridades competentes sectoriais ao abrigo do Regulamento (UE) n.º 513/2011 relativo às agências de notação de risco Guidelines & Recommendations PDF
226.61 KB
Cooperação incluindo delegação entre a ESMA, as autoridades competentes e as autoridades competentes sectoriais ao abrigo do Regulamento (UE) n.º 513/2011 relativo às agências de notação de risco
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 & 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
18/05/2018 ESMA33-9-226 CRA Technical Committee Terms of Reference Reference
20/12/2019 ESMA71-100-1792 CRAs and TRs Follow Up Fees Factsheet , , Reference PDF
122.09 KB
16/12/2013 2013/1933 CRAs’ Market share calculation according to Article 8d of the CRA Regulation Reference PDF
181.17 KB
22/12/2014 2014/1583 Credit Rating Agencies’ 2014 market share calculations for the purposes of Article 8d of the CRA Regulation Reference PDF
330 KB
One of the objectives of the CRA Regulation is to increase competition in the markets for credit ratings by encouraging issuers to use smaller credit rating agencies. To this end, Article 8d(1) of the CRA Regulation states that where issuers or related third parties intend to appoint at least two CRAs to rate an issuance or entity, they shall consider appointing at least one CRA with no more than 10% of the total market share. They will consider this where the issuer or related third party finds that such a CRA is capable of rating the relevant issuance or entity and there is such a CRA available to rate the issuance or entity in question. Where it is not possible to appoint at least one CRA with no more than 10% of the total market share, the issuer or related third party shall document this. The obligations in Article 8d are supervised and enforced at national level by sectoral competent authorities. To help issuers and related third parties carry out this evaluation, Article 8d(2) of the CRA Regulation requires ESMA to publish a list of CRAs registered in the European Union (EU) on its website every year, indicating their total market share and the types of credit ratings issued.
23/07/2018 ESMA41-137-1144 Danske- PUBLIC NOTICE Reference PDF
81.01 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 , 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 , 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 & Recommendations PDF
181.09 KB
28/10/2014 2014-1293es Directrices de la ESMA sobre la supervisión de información financiera 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 , 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 & 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 & 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) , 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 & Recommendations PDF
168.16 KB
ES - Texto traducido por el Centro de Traducción de los Órganos de la Unión Europea
08/08/2014 2014/869 ES Directrices sobre las obligaciones de información de los artículos 3(3)(d) y 24(1), (2y (4) de la DGFIA Reference PDF
727.22 KB
03/07/2013 2013/232 ES Directrices sobre las políticas remunerativas adecuadas con arreglo a la DGFIA 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 & 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