欧洲证券及市场管理局(ESMA)

2020年01月23日 6718点热度 1人点赞 1,009条评论

外汇监管提示

经工作人员核实,欧洲证券及市场管理局ESMA虽然不直接监管杠杆式外汇,但是外汇交易商需遵循ESMA制定的相应法律法规,如MiFIR和MiFID II等。

机构简介

机构性质

政府机构

ESMA是一个独立的欧盟管理局,通过加强对投资者的保护,促进金融市场稳定有序,为维护欧盟金融体系的稳定做出贡献。虽然ESMA是独立的,但在经济和金融事务委员会(ECON)出席正式听证会的请求之前,对欧洲议会负有全面责任。对欧洲联盟理事会和欧洲委员会的全面问责也存在。因此,管理局将定期在会议上报告其活动,也可通过年度报告报告。

机构历史

欧洲证券及市场管理局ESMA的成立是2009年deLarosière报告建议的直接结果。2009年deLarosière报告要求建立一个分散的网络系统—欧洲金融监管系统(ESFS)。 根据创建条例,ESMA在2011年1月1日开始运营。ESMA取代了欧盟当局的网络—欧洲证券监管机构委员会(CESR),该委员会促进了欧盟的监管并向欧盟委员会提供建议。

监管职能

ESMA通过以下活动实现其使命和目标:
1. 评估投资者,市场和金融稳定的风险
2. 制定和完善欧盟金融市场的单一规则手册
3. 促进监督趋同
4. 直接监督2个对象:信用评级机构和贸易信息库

除了促进证券监管机构之间的监管趋同外,它还旨在通过与银行(EBA),保险和职业养老金(EIOPA)领域的其他欧洲监管机构密切合作,在金融领域实现这一目标。

监管目标/范围

ESMA有三大目标:

1. 投资者保护;

2. 维护市场秩序;

3. 维护金融稳定

联系方式

电话:+33 1 58 36 43 21

传真:+33 1 58 36 43 30

邮箱:info@esma.europa.eu;Firstname.Lastname@esma.europa.eu

地址:

ESMA

103 rue de Grenelle

75007 Paris, France

信件邮寄地址:

ESMA

CS 60747

103 rue de Grenelle

75345 Paris Cedex 07, France

监管查询

步骤一 直接打开欧盟所有投资公司列表地址:https://www.esma.europa.eu/investment-firms

注:此列表包含国家主管当局收到的所有相关信息,并包含有关投资公司获得授权的服务或活动的信息。

步骤二 打开网址后,选择您需要查询的投资公司所在国的链接地址进行查询即可;

欧洲证券及市场管理局(ESMA)

监管投诉

前言:ESMA直接监督的对象只有两个:信用评级机构和交易数据库。因此,ESMA只接受关于这两个对象的投诉,它没有权利调查外汇交易商或其它金融公司,或者处理相关投诉的权利。如果您需要投诉外汇交易商或其它金融公司时,您需要投诉到该公司所在国的投诉机构。

当您对投资不满意时,您可以通过以下2个步骤进行投诉:

步骤一:直接联系金融公司

当您有投诉时,最好的方式是直接联系金融公司帮您解决问题。

您可以通过电话、邮件或亲临等方式联系他们。当您不知道金融公司的投诉问题具体由谁负责的话,您可以直接拨打该公司的热线电话或合规部门。

注:欧盟法律要求所有公司必须具备有效且透明的流程来合理且快速地处理客户投诉。

步骤二:若您对金融公司的处理结果不满意时,您可向该国的金融申诉机构进行投诉,或申请仲裁/中介计划寻求帮助。

根据欧盟法规,您可以通过非诉讼纠纷解决机制(ADR)实体解决投诉问题,ADR实体通常会在90填内回复您的投诉。

跨国投诉

如果您投诉的公司是在欧盟成员国注册的话,您需要投诉到该公司所在国的非投诉纠纷解决机制计划。

金融纠纷解决网络

欧洲经济区国家(FIN-NET)的全国庭外投诉计划的金融争议解决网络旨在帮助消费者克服跨境交易可能带来的障碍。

他们的网站允许消费者在金融服务提供商的国家/地区识别相关的庭外投诉计划,并直接与该机构联系。 FIN-NET计划还使消费者有可能以其金融合同的语言或他们通常与金融服务提供商打交道的语言进行跨境投诉。

处罚实例

欧洲证券及市场管理局(ESMA)

注:ESMA直接监管的对象是信用评级机构(CRAs)和交易数据库(TRs),所以处罚的也是与这两个对象相关的实体。

常见问答

1. 我可以向ESMA投诉欧盟地区的交易商吗?

答:不可以。ESMA直接监管的2个对象是信用评级机构和交易数据库,如果您有关于这两个对象的投诉时,您可以投诉到ESMA。如果您对外汇交易商或其它金融公司有纠纷时,您需要投诉到该公司所在国的纠纷处理机构。

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