Share this page

Supervisory law

Current publications of the European supervisory authorities

In this overview, we have compiled a selection of information relating to the regulation of the European financial market.

TitlePublisherTagsDateLang

MiFID II Supervisory briefing - Supervision of cross-border activities of investment firms

[ ESMA35-36-2780 ]

ESMA
Cross border, EU Passporting
14.12.2022
EN
Peer review into the NCAs’ handling of relocation to the EU in the context of the UK’s withdrawal from the EU
ESMA
BREXIT, Relocation
08.12.2022
EN

Report on the DLT Pilot Regime

[ ESMA70-460-111 ]

ESMA
DLT, Distributed Ledger
27.09.2022
EN

Guidelines on certain aspects of the MiFID II suitability requirements

[ ESMA35-43-3172 ]

ESMASuitability, Suitability assessment
23.09.2022EN

CFE on On Pre-hedging

[  ESMA70-449-672 ]

ESMAHedging
STOR
Inventory Risk
Market Maker
Insider Dealing
29.07.2022EN

Guidelines to harmonise the supervisory review and
evaluation process of investment firms

[ ESMA35-36-2621 ]

EBA
ESMA

21.07.2022EN

Key Retail Risk Indicators for the EU single market

ESMA50-165-2193]

ESMA

TRV
RRIs


20.07.2022EN
Common Supervisory Action (CSA) on MiFID II product governance requirements 

[ ESMA35-43-3137 ]
ESMA
08.07.2022EN
Questions and Answers On MiFID II and MiFIR transparency topics

[ ESMA70-872942901-35 ] 
ESMA

20.05.2022
EN

Joint ESA Supervisory Statement on expectations regarding the ‘What is this product?’ section of the key information document for packaged retail and insurancebased investment products

[ JC 2022 10 ]

EBA
ESMA
EIOPA

PRIIPs
09.05.2022EN
Final Report On the European Commission mandate on certain aspects relating to retail investor protection

[ ESMA35-42-1227 ]
ESMA
PFOF, Zero Commission Broker, CFDs
29.04.2022
EN
Joint Committee Annual Report 2021
EBA
ESMA
EIOPA


06.04.2022EN

Retail Market Conduct Task Force
Consultation Report

[ CR03/2022 ]

OICU-IOSCOCFD, Crypto, Fraud, Social Media, Scam, Clone Investment, Hybrid fraud
03/2022EN

EU financial regulators warn consumers on the risks of crypto-assets

[ ESA 2022 15 ]

ESMA
EBA
EIOPA

17.03.2022EN

ESMA Report on Trends, Risks and Vulnerabilities

[ ESMA 50-165-2058 ]

ESMA
15.02.2022EN

Supervisory Briefing on supervisory expectations in relation to firms using tied agents in the MiFID II framework 

[ESMA35-43-2900]

ESMA
02.02.2022

Joint ESAs thematic repository of national financial education initiatives on digitalisation - with a specific focus on cybersecurity, scams and fraud

[JC 2022 03]

EBA
31.01.2022EN

Guidelines on certain aspects of the MiFID II suitability requirements

[ ESMA35-43-2998 ]

ESMA

27.01.2022
EN

Guidelines on certain aspects of the MiFID II appropriateness and execution-only requirements 

[ESMA35-43-2938]

ESMA
03.01.2022EN

EU Derivatives Markets

[ESMA-50-165-2001]

ESMA
17.12.2021EN

Questions and Answers On MiFID II and MiFIR investor protection and intermediaries topics

[ ESMA35-43-349]

ESMA
19.11.2021EN

Draft technical standards under the European crowdfunding service providers for business Regulation

[ ESMA35-42-1183 ]

ESMA
10.11.2021EN

ESMA’s Statement on Investment Recommendations on Social Media

[ ESMA70-154-2780 ]

ESMA

investment recommendation
social media
Influencer

28.10.2021EN

ESMA warns firms and investors about risks arising from payment for order flow and from certain practices by “zero-commission brokers”

[ ESMA35-43-2749 ]

ESMAPFOF
Zero Commission
13.07.2021EN

MiFID II review report on the functioning of Organised Trading Facilities

[ ESMA70-156-4225 ]


ESMAMPT
Back-to-back
Matched Principle Trading
23.03.2021EN
Choosing wisely: preferences, comprehension and the effect of risk warnings on financial promotions for investment products

FCA,

Maura Feddersen, Cameron Gilchrist, Lucy Hayes, Timothy L. Mullett, Helena Robertson, Laura Smart Neil Stewart, Jonathan Titley

Risk Warnings
18.06.2020
EN

ESMA’s Technical Advice to the Commission on the effects of product intervention measures 

[ ESMA35-43-2134 ]!

ESMACFDs03.02.2020EN

Peer Review on the collection and use of STORs

[ ESMA42-111-4916 ] 

ESMASTOR
Suspicious transactions
12.12.2019EN

Statement of ESMA on the application of product intervention measures under Article 40 and 42 of Regulation (EU) No. 600/2014 (1 ) (MiFIR) by CFD providers 

[ ESMA35-36-1743 ]! p27-36

ESMACFD11.07.2019EN

Questions and Answers On ESMA’s temporary product intervention measures on the marketing, distribution or sale of CFDs and Binary options to retail clients

[ ESMA35-36-1262 ]

ESMACFDs
EN

Product Intervention Analysis Measures on Contracts for Differences

[ ESMA50-162-215 ]

ESMA
01.06.2018EN

Guidelines on the range of scenarios to be used in recovery plans

[ EBA/GL/2014/06 ]

EBA

18.07.2014
DL

Additional Notes: ESMA-Library

· Dura lex, sed lex ·