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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
30/09/2016 2016/1408 ESMA appoints new chairs to Standing Committees , , , Statement PDF
141.3 KB

The Board of Supervisors of the European Securities and Markets Authority (ESMA) has appointed the following individuals to serve as chairs of its standing committees:

  • Hannelore Lausch, Executive Director of the Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin), Germany, will chair the Market Data Standing Committee;
  • Cyril Roux, Deputy Governor of the Central Bank of Ireland (CBI, will chair the Investment Management Standing Committee; and
  • Merel van Vroonhoven, Chair of the Autoriteit Financiële Markten (AFM), Netherlands, will chair the Investor Protection and Intermediaries Standing Committee.

The standing committees are expert groups drawn from ESMA staff and the national competent authorities for securities markets regulation in the Member States, and are responsible for the development of policy in their respective areas.  The appointments are for a period of two years and commence with immediate effect.

03/10/2016 2016/BS/201rev Summary of Conclusions- Board of Supervisors Meeting 12 July 2016 Summary of Conclusions PDF
230.3 KB
11/10/2016 2016/1458 ESMA to focus on supervisory convergence issues in 2017 , , , Press Release PDF
230.38 KB

The European Securities and Markets Authority (ESMA) has published its 2017 Work Programme which sets out its priorities and areas of focus for 2017 in support of its mission to enhance investor protection and promote stable and orderly financial markets.

The programme reflects the shift in focus of ESMA’s work, from building the single rulebook, towards ensuring its consistent application across the European Union (EU), as outlined in its 2016-2020 Strategic Orientation. The key areas of focus under ESMA’s activities of supervisory convergence, assessing risks, single rulebook and direct supervision will be:

  • Converging supervisory practices on the implementation of MiFIDII/MiFIR ;
  • Focusing on data quality;
  • Level 2 work on the Benchmarks Regulation and on various initiatives under the umbrella of the Capital Markets Union; and
  • Directly supervising credit rating agencies (CRA) and trade repositories (TR), with a particular focus on their ancillary activities given the trend of combining ancillary and core services.
10/11/2016 2016/BS/259rev1 Summary of Conclusions Board of Supervisors meeting 28/09/2016 Summary of Conclusions PDF
244.71 KB
16/12/2016 2016/BS/309rev1 Summary of Conclusions Board of Supervisors meeting 09/11/2016 Summary of Conclusions PDF
376.7 KB
16/12/2016 2012/BS/88 rev3 Board of Supervisors Rules of procedure- December 2016 Reference PDF
356.99 KB
23/01/2017 ESMA63-43-485 ESMA Budget 2017 , , Reference PDF
191.97 KB
27/01/2017 ESMA20-839860843-411 2017 Regulatory Work Programme , Reference PDF
80.05 KB
30/01/2017 ESMA22-247440098-55 Summary of Conclusions Board of Supervisors 14/12/2016 Reference PDF
296.35 KB
08/02/2017 ESMA71-844457584-346 Review of the European Supervisory Authorities: Opportunities to ensure a safe and sound financial system , Speech PDF
187.98 KB
30/03/2017 ESMA22-247440098-103 Summary of Conclusions Board of Supervisors meeting 26/01/2017 Summary of Conclusions PDF
379.53 KB
06/04/2017 ESMA31-68-147 ESMA response to Capital Markets Union Mid-Term Review Report PDF
643.2 KB
01/06/2017 ESMA22-106-209 Summary of Conclusions Board of Supervisors Conference call 03/05/2017 Summary of Conclusions PDF
185.2 KB
01/06/2017 ESMA41-137-1005 Decision of the Board of Supervisors to adopt a supervisory measure and impose fines with respect to infringements by Moody’s Deutschland GmbH and Moody’s Investors Service Limited , Decision PDF
207.16 KB
01/06/2017 ESMA71-99-466 Public Notice- Moody's Germany and Moody's United Kingdom Statement PDF
297.01 KB
01/06/2017 ESMA71-99-466 ESMA fines Moody’s €1.24 million for credit ratings breaches , , Press Release PDF
238.35 KB

The European Securities and Markets Authority (ESMA) has fined Moody’s Deutschland GmbH (Moody’s Germany) €750,000 and Moody’s Investors Service Limited (Moody’s UK) €490,000, and issued a public notice, for two negligent breaches of the Credit Rating Agencies Regulation (CRAR).

ESMA found that Moody’s Germany and Moody’s UK negligently committed two infringements of the CRAR regarding their public announcement of certain ratings and their public disclosure of methodologies used to determine those ratings. These failures concern nineteen ratings issued between June 2011 and December 2013 for nine supranational entities including the European Investment Bank, the European Investment Fund, the European Stability Mechanism, the European Financial Stability Facility and the European Union.

14/06/2017 ESMA20-95-590 Annual Report 2016 , , Annual Report PDF
2.94 MB

Corrigendum - date on the letter of assurance from the Executive Director on p81 had inadvertently been dated 14 June 2017, when the letter was signed on 2 June 2017. The date has been amended accordingly

19/06/2017 ESMA22-106-216 Summary of Conclusions Board of Supervisors meeting 29/03/2017 Summary of Conclusions PDF
322 KB
06/07/2017 ESMA22-106-271 Summary of Conclusions Board of Supervisors meeting 23-24 May 2017 Summary of Conclusions PDF
380.58 KB

Test

07/07/2017 ESMA41-37-1007 Rules of procedure of the Mediation panel Reference PDF
257.16 KB

Updated to reflect the inclusion of EEA/EFTA