January 23, 2019

ESMA updated the overview of guidelines published under its mandate, with information and links to the related documents. The overview document provides information such as the date of application and links to the final guidelines, consultation reports, feedback to consultations, and peer reviews, if any. 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 guideline.

The overview table categorizes guidelines by directives and regulations, including Alternative Investment Fund Managers Directive, Benchmarks Regulation, Credit Rating Agencies Regulation, Central Securities Depositories Regulation, European Market Infrastructure Regulation, Financial Conglomerates Directive, Market Abuse Regulation, Markets in Financial Instruments Directive (MiFID II), Prospectus Regulation, Money Market Funds Regulation, Undertakings for Collective Investment in Transferable Securities Directive, Short-Selling Regulation, and Transparency Directive. 

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 consultation. 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.


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Keywords: Europe, EU, Securities, List of Guidelines, Competent Authorities, ESMA

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