ESMA Updates Lists of Guidelines and Standards Under Its Mandate
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.
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
Featured Experts

María Cañamero
Skilled market researcher; growth strategist; successful go-to-market campaign developer

Nicolas Degruson
Works with financial institutions, regulatory experts, business analysts, product managers, and software engineers to drive regulatory solutions across the globe.

Patrycja Oleksza
Applies proficiency and knowledge to regulatory capital and reporting analysis and coordinates business and product strategies in the banking technology area
Previous Article
EIOPA Publishes Supervisory Convergence Plan and Suptech StrategyRelated Articles
APRA Publishes Results of Climate Risk Self-Assessment Survey
The Australian Prudential Regulation Authority (APRA) has published the findings of its latest climate risk self-assessment survey conducted across the banking, insurance, and superannuation industries.
ACPR Publishes Updates Related to CRD IV and Covered Bonds
The French Prudential Supervisory Authority (ACPR) published a notice related to the methods for calculating and publishing prudential ratios under the Capital Requirements Directive (CRD IV) and the minimum requirement for own funds and eligible liabilities (MREL).
BIS Paper Contributes to Debate on Regulating NBFIs and Big Techs
The Financial Stability Institute (FSI) of the Bank for International Settlements recently published a paper proposing a framework for classifying financial stability regulation as either entity-based or activity-based.
EIOPA Publishes Guidance on Climate Change Scenarios in ORSA
The European Insurance and Occupational Pension Authority (EIOPA) published the risk dashboard based on Solvency II data and the final version of the application guidance on climate change materiality assessments and climate change scenarios in the Own Risk and Solvency Assessment (ORSA).
EBA and ECB Respond to Proposals on Sustainability Disclosures
The European Banking Authority (EBA) and the European Central Bank (ECB) published their responses to the consultations of the International Sustainability Standards Board (ISSB) and the European Financial Reporting Advisory Group (EFRAG) on sustainability-related disclosure standards.
BIS Report Notes Existing Gaps in Climate Risk Data at Central Banks
A Consultative Group on Risk Management (CGRM) at the Bank for International Settlements (BIS) published a report that examines incorporation of climate risks into the international reserve management framework.
EBA Publishes Multiple Regulatory Updates for Regulated Entities
The European Banking Authority (EBA) published the final guidelines on liquidity requirements exemption for investment firms, updated version of its 5.2 filing rules document for supervisory reporting, and Single Rulebook Question and Answer (Q&A) updates in July 2022.
EIOPA Issues SII Taxonomy and Guide on Sustainability Preferences
The European Insurance and Occupational Pensions Authority (EIOPA) published Version 2.8.0 of the Solvency II data point model (DPM) and XBRL taxonomy.
EESC Opines on Proposals on CRR and European Single Access Point
The European Union published, in the Official Journal of the European Union, an opinion from the European Economic and Social Committee (EESC); the opinion is on the proposal for a regulation to amend the Capital Requirements Regulation (CRR).
HM Treasury Publishes Multiple Regulatory Updates in July 2022
HM Treasury published a draft statutory instrument titled “The Financial Services (Miscellaneous Amendments) (EU Exit) Regulations 2022,” along with the related explanatory memorandum and impact assessment.