ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
01/10/2013 2013/606 LT Atlyginimų nustatymo politika ir praktika (FPRD) , Guidelines & Recommendations PDF
268.28 KB
01/10/2013 2013/606 LV Atlīdzības politika un prakse (FITD) , Guidelines & Recommendations PDF
339.96 KB
07/02/2014 2014/154 HU Az összetett termékekbe történő befektetések kockázatai , Investor Warning PDF
384.08 KB
19/11/2019 ESMA71-319-154 Banking and the MiFID II review , , Speech PDF
135.75 KB
01/10/2013 2013/606 NL Beloningsbeleid en beloningspraktijken (MiFID) , Guidelines & Recommendations PDF
319.71 KB
25/02/2015 2015/494 Best Execution under MiFID , Final Report PDF
761.62 KB
The European Securities and Markets Authority (ESMA) has conducted a peer review on how national regulators (national competent authorities or NCAs) supervise and enforce the MiFID provisions relating to investment firms’ obligation to provide best execution, or obtain the best possible result, for their clients when executing their orders. ESMA found that the level of implementation of best execution provisions, as well as the level of convergence of supervisory practices by NCAs, is relatively low. In order to address this situation a number of improvements were identified, including: • prioritisation of best execution as a key conduct of business supervisory issue; • the allocation of sufficient resources to best execution supervision; and • a more proactive supervisory approach to monitoring compliance with best execution requirements, both desk-based and onsite inspections. The review was conducted on the basis of information provided by 29 NCAs and complemented by on-site visits to the NCAs of France, Liechtenstein, Luxembourg, Malta, Poland and Spain.
27/03/2019 ESMA35-43-1862 BO Renewal Decision 3 Notice Reference PDF
83.42 KB
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19/12/2018 ESMA35-43-1328 Brexit Statement- information to clients , Statement PDF
212.95 KB
10/10/2019 ESMA71-319-144 Building the EU Capital Markets Union while fostering global financial markets- EU-Asia Financial Dialogue/ASIFMA Conference , , , Speech PDF
135.51 KB

EU-Asia Financial Dialogue/ASIFMA Conference, Tokyo 10 October

08/10/2010 10-1264b CAHIER DES CLAUSES PARTICULIERES- PRESTATIONS DE MISSION DE MAITRISE D’OEUVRE POUR L’AGENCEMENT DES NOUVEAUX LOCAUX DU CESR CLOSED Procedure PDF
438.62 KB
17/07/2019 ESMA35-43-1905 Call for evidence Impact of the inducements and costs and charges disclosure requirements under MiFID II Consultation Paper PDF
479.41 KB
28/07/2004 04-394 Call for evidence on Credit Rating Agencies Consultation Paper PDF
181.04 KB
CESR has received a call for technical advice on measures concerning Credit Rating Agencies, and has launched a call for evidence to assist in this work
18/12/2009 09-1175 Call for evidence on cross-sectoral internal governance issues Consultation Paper PDF
86.5 KB
30/09/2019 ESMA-35-43-2090 Call for evidence on MiFID II product intervention powers Consultation Paper PDF
197.51 KB
08/06/2009 09-406b Call for evidence on mutual recognition with non-EU jurisdictions Consultation Paper PDF
237.97 KB
22/08/2008 08-643 Call for evidence on the identification of regulatory arrangements for post-trading infrastructures Consultation Paper PDF
314.83 KB
At the end of July 2008, CESR received from the European Commission a mandate to identify regulatory arrangements for post-trading infrastructures and to advise on possible solutions in terms of bridging any potential differences in post-trading arrangements in the Member States. The deadline set for CESR
29/06/2004 04-323 Call for Evidence on the second set of mandates from the European Commission on the legislative measures to implement the Markets in Financial Instruments Directive Consultation Paper PDF
184.53 KB
02/02/2009 09-074 Call for evidence on the technical standards to identify and classify OTC derivative instruments for TREM; CESR's transaction reporting exchange mechanism Consultation Paper PDF
88.41 KB
29/06/2004 04-305 Call for evidence regarding the European Commission’s mandates on equivalence between certain third countries’ application of GAAP and IAS/IFRS Consultation Paper PDF
139.41 KB
29/06/2004 04-284 Call for evidence regarding the European Commission’s mandates on the Transparency Directive Consultation Paper PDF
175.27 KB