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ESMA publishes proposals on CRAs internal control functions

05 December 2019
monitoring activities. While the Internal Controls Functions focus on specific roles, namely: ii ...

ESMA publishes report on the licencing of FinTech firms across Europe

12 July 2019
wide holistic crowdfunding regime, particularly for crowdfunding based on non-MiFID II instruments. ...

ESMA updates on its preparations for a possible no-deal Brexit scenario on 12 April

28 March 2019
Brexit Credit Rating Agencies MiFID- Secondary Markets MiFID II: Transparency Calculations and DVC ...

Brexit Update March 2019

ESMA90-1-83
28 March 2019
Reference ESMA90-1-83 Section Brexit Credit Rating Agencies MiFID- Secondary Markets MiFID II ...

ESMA publishes its 2019 Risk Assessment Work Programme

07 February 2019
AIFs and structured retail products); and o   the first annual statistical report on MiFID II data. ... under its AIFMD, MiFID and EMIR mandates and others becomes available, ESMA is – in cooperation with ...

Crypto-assets need common EU-wide approach to ensure investor protection

09 January 2019
instruments under MiFID, there are areas that require potential interpretation or re-consideration of specific ... crypto-assets may qualify as MiFID financial instruments, in which case the full set of EU financial rules would ...

ESAs publish joint report on regulatory sandboxes and innovation hubs

07 January 2019
facilitators; (ii) promote transparency of regulatory and supervisory policy outcomes from arising from ...

Press release - ESMA consults on measures to promote sustainability in EU capital markets

ESMA71-99-1085
19 December 2018
Reference ESMA71-99-1085 Section Credit Rating Agencies Fund Management MiFID- Investor Protection ...

ESMA consults on measures to promote sustainability in EU capital markets

19 December 2018
Financial Instruments Directive II (MiFID II) (securities trading) and the Alternative Investment Fund ... in the UCITS Directive, AIFMD and MiFID II by 30 April 2019. ESMA, along with the consultations, will ... factors in MiFID II Consultation on integrating sustainability risks and factors in the UCITS Directive ...

ESMA highlights ICO risks for investors and firms

13 November 2017
the Prospectus Directive, ·         the Markets in Financial Instruments Directive (MiFID), ·         ...

ESMA appoints new standing committee chairs

29 September 2017
Integrity MiFID- Secondary Markets Post Trading ESMA has appointed new chairs for its Corporate Finance, ...

ESMA appoints new chairs to Standing Committees

ESMA71-99-602
29 September 2017
Corporate Information Innovation and Products Market Integrity MiFID- Secondary Markets Post Trading Type ...

ESAs consult on amendments to technical standards on the mapping of ECAIs

18 July 2017
banking (Capital Requirements Regulation – CRR) and EU insurance regulation (Solvency II Directive). Since ... consultation page. Comments to the Consultation Paper on the mapping under Article 109 (a) of the Solvency II ... (Solvency II Directive), which state that revised draft ITS  shall be submitted by the ESAs, where ...

Product Intervention - General Statement

ESMA35-36-885
28 June 2017
being discussed for (i) CFDs and rolling spot forex and (ii) binary options include proposals that take ... speculative products to retail investors under MiFID published 31 March 2017 | [2] ESMA/2016/1166  Warning ... MiFID- Investor Protection Type Statement Main document ...

Update of the guidelines on the application of the endorsement regime under Article 4(3) of the Credit Rating Agencies Regulation

33-9-149
04 April 2017
equivalence. This Methodological Framework is provided in Annex II of the 2011 Guidelines on Endorsement. By ...

ESMA calls for consistent application of MiFIR product intervention powers

12 January 2017
3 January 2018. Currently, the powers will only apply to MiFID investment firms marketing products which ... would create a level-playing field between MiFID firms and fund management companies, ensuring we ... with certain specified features. ESMA and NCAs will also have the powers to prohibit MIFID financial ...

ESAs clarify their position on technical standards on the credit quality steps for ECAIs’ credit assessments

12 May 2016
Institutions’ (ECAIs) credit assessments under the Capital Requirements Regulation (CRR) and Solvency II ...

Press Release - Investment-based crowdfunding needs EU-wide common approach

2014/1568
18 December 2014
Instruments Directive (MiFID), the Prospectus Directive, the Directive for Alternative Investment Fund ... include: the impact of the Prospects Directive thresholds; capital requirements and the use of the MiFID ... those platforms that currently operate outside of the scope of MiFID The Opinion and Advice have been ...

Consultation paper on draft RTS on prospectus related issues under the Omnibus II Directive

2014/1186
26 September 2014
2014-1186_consultation_paper_on_omnibus_ii_rts.pdf Style ESMA document ...