ESMA Updates List of Guidelines Under Its Mandate in September 2019

The overview table categorizes guidelines by directives and regulations, including Alternative Investment Fund Managers Directive, Central Securities Depositories Regulation, Credit Rating Agencies Regulation, European Market Infrastructure Regulation, Financial Conglomerates Directive, Market Abuse Regulation, Markets in Financial Instruments Directive (MiFID I), (MiFID II), MiFIR (600/2014), Money Market Funds (MMF) Regulation, Prospectus Regulation, Undertakings for Collective Investment in Transferable Securities Directive, Benchmark Regulation, Securities Financing Transactions Regulation, 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.

Related Links

• List of Guidelines (PDF)
• Overview of Guidelines and Technical Standards

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