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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
20/12/2012 2012/849 Letter to IAASB on Improving the Auditor's Report Letter PDF
263.73 KB
27/05/2019 ESMA32-62-126 letter to IAASB- proposed strategy for 2020-2023 and work plan for 2020-2021 Letter PDF
178.15 KB
07/04/2014 2014/363 Letter to the IAASB on its Proposed Strategy and Work Program for 2015-2019 Letter PDF
207.37 KB

The European Securities and Markets Authority (ESMA) considered the Consultation Paper on the IAASB’s Proposed Strategy for 2015-2019 and the Proposed Work Program for 2015-2016 (CP) and thanks you for the opportunity to contribute to the IAASB’s due process. The views expressed in this letter are made from the point of view of securities regulators with the aim to enhance investor protection and improve listed entities’ auditors’ reports.

05/09/2018 ESMA70-151-1719 Letter to VP Dombrovskis on opinion on SFTR Letter PDF
213.13 KB
28/02/2020 EMIR 59.3 register List of registered trade repositories Reference XLSX
39.25 KB
22/12/2015 2015/1905 MAD Supervisory Practices peer review follow-up , Final Report PDF
239.64 KB
05/01/2017 ESMA71-1154262120-155 Methodology for Mandatory Peer Reviews in relation to CCPs’ authorisation and supervision under EMIR , Reference PDF
334.98 KB
01/04/2020 ESMA70-156-2311 MiFID II Review Report on position limits and position management , Final Report PDF
591.78 KB
11/02/2019 ESMA35-43-1493 MiFID II supervisory briefing on the use of third-country branches by EU firms , , Reference PDF
469.29 KB
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.
13/07/2017 ESMA35-43-762 Opinion to support supervisory convergence in the area of investment firms in the context of the United Kingdom withdrawing from the European Union , , Opinion PDF
236.23 KB
13/07/2017 ESMA35-45-344 Opinion to support supervisory convergence in the area of investment management in the context of the United Kingdom withdrawing from the European Union , , Opinion PDF
246.6 KB
13/07/2017 ESMA70-154-270 Opinion to support supervisory convergence in the area of secondary markets in the context of the United Kingdom withdrawing from the European Union , , Opinion PDF
181.69 KB
18/05/2020 Overview recruitments Overview recruitments- Updated May 2020 , Reference PDF
276.32 KB
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
18/07/2017 ESMA42-111-4138 Peer Review on Guidelines on Enforcement of Financial Information , Report PDF
1.86 MB
29/11/2017 ESMA71-99-661 Peer Review on MiFID Compliance Function Press Release , , Press Release PDF
149.89 KB
30/07/2018 ESMA42-111-4479 Peer review on the Guidelines on ETFs and other UCITS issues Final Report PDF
1.11 MB
05/01/2016 2015/1791 Peer Review Report Compliance with SSR as regards Market Making activities Report PDF
615.09 KB
30/06/2016 2016/1055 Peer Review Report on Prospectus Approval Process , Final Report PDF
1.23 MB