ESMA Updates Lists of Guidelines and Standards Under Its Mandate

The document on overview of guidelines contains information such as the date of application, along with links to the final guidelines, consultation reports, feedback received to these consultations, any related peer reviews, and the translations of these guidelines in official EU languages. In this document, ESMA also provides links to the respective compliance tables, which contain information on whether the national competent authorities in EU member states comply, or intend to comply, with each ESMA guidelines. The document on overview of technical standards contains, among other information, the status of each technical standard, the date of its publication in the Official Journal of the European Union, and the date of its entry into force. 

To promote supervisory convergence, ESMA has the power to issue guidelines (Article 16 of ESMA Regulation 1095/2010) that are addressed to competent authorities or, as the case may be, to market participants. In the context of developing the guidelines, ESMA, where appropriate, conducts open public consultations. ESMA is entitled to receive information from competent authorities or, as the case may be, from market participants on whether they comply with the guidelines and to publish the reasons of non-compliance by supervisory authorities. According to Regulation 1095/2010, ESMA is entitled to elaborate technical standards to be submitted to EC for endorsement. Depending on the Level 1 mandate, ESMA will develop either regulatory technical standards that are endorsed by EC by means of delegated acts or implementing technical standards that are adopted by EC by means of implementing acts.

Related Links

• Guidelines (PDF)
• Technical Standards (XLSX)
  
• Compliance with Guidelines (XLSX)
  
• Overview of Guidelines and Technical Standards

Keywords: Europe, EU, Banking, Securities, List of Guidelines, Competent Authorities, Regulatory Technical Standards, Implementing Technical Standards, Overview of Technical Standards, ESMA