ESMA updated the overview of the guidelines and implementing and regulatory technical standards that have been published under its mandate. ESMA also published a document that provides information on the compliance status of the national competent authorities with respect to the application of various ESMA guidelines in their respective jurisdictions.
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.
- 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
Previous ArticleEIOPA Publishes Supervisory Convergence Plan and Suptech Strategy
APRA finalized the reporting standard ARS 115.0 on capital adequacy with respect to the standardized measurement approach to operational risk for authorized deposit-taking institutions in Australia.
ESAs Issue Advice on KPIs on Sustainability for Nonfinancial Reporting
EBA is consulting on the implementing technical standards for Pillar 3 disclosures on environmental, social, and governance (ESG) risks, as set out in requirements under Article 449a of the Capital Requirements Regulation (CRR).
EU published Directive 2021/338, which amends the Markets in Financial Instruments Directive (MiFID) II and the Capital Requirements Directives (CRD 4 and 5) to facilitate recovery from the COVID-19 crisis.
The EBA Single Rulebook question and answer (Q&A) tool updates for this month include answers to ten questions.
ESMA updated the set of questions and answers (Q&A), along with the reporting instructions and an XML schema for the templates set out in the technical standards on disclosure requirements, under the Securitization Regulation.
EU published Regulation 2021/337, which amends the Transparency Directive (2004/109/EC), regarding the use of the single electronic reporting format for annual financial reports.
The Standing Committee of the European Free Trade Association (EFTA) recommended that a systemic risk buffer level of 4.5% for domestic exposures can be considered appropriate for addressing the identified systemic risks to the stability of the financial system in Norway.
In a recent statement, PRA clarified its approach to the application of certain EU regulatory technical standards and EBA guidelines on standardized and internal ratings-based approaches to credit risk, following the end of the Brexit transition.
In a recently published letter addressed to the G20 finance ministers and central bank governors, the FSB Chair Randal K. Quarles has set out the key FSB priorities for 2021.