European Securities and Markets Authority

A financial supervisory body, also called ESMA

ESMA fosters supervisory convergence both amongst securities regulators, and across financial sectors by working closely with the other European Supervisory Authorities competent in the field of banking (EBA), and insurance and occupational pensions (EIOPA).

48 requests
Make a request to this authority
Failed Trades / Failure to deliver equities
Response by European Securities and Markets Authority to Bryan James on .

Awaiting response.

Dear Bryan James, We acknowledge receipt of your request and will get back to you in due course. Kind regards Enrico Gagliardi
Request for a report by ESME on: Financial Instruments. Impact of definitions on the Perimeters of FSAP Directives (2008).
Response by European Securities and Markets Authority to Jacek Dybinski on .

Referred.

Dear Mr Dybinski,   We would like to refer to the request for access to documents you submitted to ESMA on 28 August 2022 pursuant to Regulation (EC...
Memos, guidance and guidelines on record creation
Response by European Securities and Markets Authority to Alexander Fanta on .

Partially successful.

Dear Mr Fanta,   We would like to refer to the request for access to documents you submitted to ESMA on 25 April 2022 pursuant to Regulation (EC)...
Equivalence Decisions
Response by European Securities and Markets Authority to Pedro Carvalho on .

Successful.

Dear Mr Carvalho, We acknowledge receipt of your message and will get back to you in due course. With kind regards Enrico Gagliardi
Equivalence Decisions - Withdrawal
Response by European Securities and Markets Authority to Pedro Carvalho on .

Successful.

Dear Mr Carvalho,   Many thanks for your response and engagement in this process for a fair solution. We would be pleased to have a call with you in...
Documents pertaining to PETI Petition 0323/2021
Response by European Securities and Markets Authority to Nicholas Lee on .

Refused.

Dear Sir or Madam, Thank you for your message. We value your input and question raised on this issue. As with all relevant questions that are submit...
Documents Pertaining to PETI Petition 1470/2020
Request to European Securities and Markets Authority by Nicholas Lee. Annotated by Nicholas Lee on .

Information not held.

Response here: https://www.asktheeu.org/en/request/list_of_all_documents_pertaining_2#incoming-34425
Documents Pertaining to PETI Petition 0394/2021
Response by European Securities and Markets Authority to Nicholas Lee on .

Information not held.

Dear Sir or Madam, Thank you for your message. We value your input and question raised on this issue. As with all relevant questions that are submit...
Documents Pertaining to PETI Petition 1088/2016
Request to European Securities and Markets Authority by Nicholas Lee. Annotated by Nicholas Lee on .

Information not held.

Response here: https://www.asktheeu.org/en/request/list_of_all_documents_pertaining_2#incoming-34425
Preparatory Documents & Documents Relating to 2021 EU-US Joint Financial Regulatory Forum
Response by European Securities and Markets Authority to Nicholas Lee on .

Partially successful.

Dear Mr Lee,   We are writing with reference to your request of 11 November 2021 by which you asked ESMA to provide you with “[…] documents which...
Preparatory Documents & Documents Relating to 2019 US-EU Joint Financial Regulatory Forum
Response by European Securities and Markets Authority to Nicholas Lee on .

Information not held.

Dear Mr Lee,   We are writing with reference to your request of 11 November 2021 by which you asked ESMA to provide you with “[…] documents which...
List of all documents pertaining to FATCA
Response by European Securities and Markets Authority to Nicholas Lee on .

Refused.

Dear Mr Lee, We are writing with reference to your confirmatory applications dated 10 November 2021, and related email dated 30 November 2021, by wh...
ESMA 's role as a gatekeeper
Response by European Securities and Markets Authority to Lucy McNulty on .

Awaiting classification.

On behalf of the Document Access Coordinator   Dear Lucy McNulty, We are writing with reference to your request for access to documents submitte...
ESMA data capabilities
Response by European Securities and Markets Authority to Lucy McNulty on .

Awaiting classification.

On behalf of the Document Access Coordinator   Dear Lucy McNulty, We are writing with reference to your request for access to documents submitte...
Esma crisis toolbox
Response by European Securities and Markets Authority to Lucy McNulty on .

Awaiting classification.

On behalf of the Document Access Coordinator   Dear Lucy McNulty, We are writing with reference to your request for access to documents submitte...
Reverse solicitation and chaperoning
Response by European Securities and Markets Authority to Justin Cash on .

Awaiting classification.

On behalf of the Document Access Coordinator   Dear Justin Cash,   We are writing to you with reference to your request for information and do...
Meeting between Fabrice Comptour, Cabinet member of Thierry Breton and AeroSpace and Defence Industries Association of Europe (ASD)
Response by European Securities and Markets Authority to Clement Le Foll on .

Awaiting classification.

Dear Sir or Madam, Thank you for your message. We value your input and question raised on this issue. As with all relevant questions that are submit...
SFTR pairing and matching rates
Response by European Securities and Markets Authority to Rebekah Tunstead on .

Awaiting classification.

Dear Ms Tunstead,   We would like to refer you to the request you sent to ESMA to get access to information relating to pairing and matching rates....
Enregistrements nuls dans les fichiers, https://www.esma.europa.eu/data-systematic-internaliser-calculations , spécifications
Response by European Securities and Markets Authority to Jean Marie Falisse on .

Successful.

Dar Sir or Madam, Thank you for your message. We value your input and question raised on this issue. As with all relevant questions that are submit...
Procédure menant à la dénomination de certains fichiers publiés par l'ESMA
Internal review request sent to European Securities and Markets Authority by Jean Marie Falisse on .

Awaiting internal review.

Please pass this on to the person who reviews confirmatory applications. I am filing the following confirmatory application with regards to my acc...
Périodes couvertes par les fichiers publiés sur la page https://www.esma.europa.eu/data-systematic-internaliser-calculations
Response by European Securities and Markets Authority to Jean Marie Falisse on .

Long overdue.

Dear Colleague, Our team has dealt with your request registered under reference number [1]ITSD-240090. You will find below our response to your re...
Pairing and matching rates EMIR
Response by European Securities and Markets Authority to Samuel Wilkes on .

Reported for administrator attention.

Dear Mr Wilkes,   I would like to refer you to the request for Access to Documents you submitted to ESMA on 22 March 2019 pursuant to Regulation (...
SFTR Validation Rules Excel document
Response by European Securities and Markets Authority to Steve Martin on .

Partially successful.

Dear Mr Martin,   We would like to refer you to the request for access to documents you filed pursuant to Regulation (EC) No 1049/2001 in which yo...
Work with Palantir
Response by European Securities and Markets Authority to Mathias Schindler on .

Awaiting classification.

Dear Mr Schindler,   We would like to refer to the request for access to documents you sent to ESMA in which you asked to get access to "[…] any inf...
Meetings between ESMA and stakeholders concerning sustainable finance
Request sent to European Securities and Markets Authority by Rebecca Vaughan on .

Long overdue.

All documentation (including but not limited to all email correspondence, attendance lists, agendas, background papers, and minutes/notes) relati...

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