欧盟金融监管体制改革法规汇编

DIRECTIVE 2010/78/EU OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

Article 1 Amendments to Directive 98/26/EC

Article 2 Amendments to Directive 2002/87/EC

Article 3 Amendments to Directive 2003/6/EC

Article 4 Amendments to Directive 2003/41/EC

Article 5 Amendments to Directive 2003/71/EC

Article 6 Amendments to Directive 2004/39/EC

Article 7 Amendments to Directive 2004/109/EC

Article 8 Amendments to Directive 2005/60/EC

Article 9 Amendments to Directive 2006/48/EC

Article 10 Amendments to Directive 2006/49/EC

Article 11 Amendments to Directive 2009/65/EC

Article 12 Review

Article 13 Transposition

Article 14 Entry into force

Article 15 Addressees

REGULATION （EU） NO 1092/2010 OF THE EUROPEAN

PARLIAMENT AND OF THE COUNCIL

CHAPTER I GENERAL PROVISIONS

Article 1 Establishment

Article 2 Definitions

Article 3 Mission， objectives and tasks

CHAPTER II ORGANISATION

Article 4 Structure

Article 5 Chair and Vice-Chairs of the ESRB

Article 6 General Board

Article 7 Impartiality

Article 8 Professional secrecy

Article 9 Meetings of the General Board

Article 10 Voting modalities of the General Board

Article 11 Steering Committee

Article 12 Advisory Scientific Committee

Article 13 Advisory Technical Committee

Article 14 Other sources of advice

CHAPTER III TASKS

Article 15 Collection and exchange of information

Article 16 Warnings and recommendations

Article 17 Follow-up of the ESRB recommendations

Article 18 Public warnings and recommendations

CHAPTER IV FINAL PROVISIONS

Article 19 Accountability and reporting obligations

Article 20 Review

Article 21 Entry into force

REGULATION （EU） NO 1093/2010 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

CHAPTER I ESTABLISHMENT AND LEGAL STATUS

Article 1 Establishment and scope of action

Article 2 European System of Financial Supervision

Article 3 Accountability of the Authorities

Article 4 Definitions

Article 5 Legal status

Article 6 Composition

Article 7 Seat

CHAPTER II TASKS AND POWERS OF THE AUTHORITY

Article 8 Tasks and powers of the Authority

Article 9 Tasks related to consumer protection and financial activities

Article 10 Regulatory technical standards

Article 11 Exercise of the delegation

Article 12 Revocation of the delegation

Article 13 Objections to regulatory technical standards

Article 14 Non-endorsement or amendment of draft regulatory technical standards

Article 15 Implementing technical standards

Article 16 Guidelines and recommendations

Article 17 Breach of Union law

Article 18 Action in emergency situations

Article 19 Settlement of disagreements between competent authorities in cross-

border situations

Article 20 Settlement of disagreements between competent authorities across sectors

Article 21 Colleges of supervisors

Article 22 General provisions

Article 23 Identification and measurement of systemic risk

Article 24 Permanent capacity to respond to systemic risks

Article 25 Recovery and resolution procedures

Article 26 European system of deposit guarantee schemes

Article 27 European system of bank resolution and funding arrangements

Article 28 Delegation of tasks and responsibilities

Article 29 Common supervisory culture

Article 30 Peer reviews of competent authorities

Article 31 Coordination function

Article 32 Assessment of market developments

Article 33 International relations

Article 34 Other tasks

Article 35 Collection of information

Article 36 Relationship with the ESRB

Article 37 Banking Stakeholder Group

Article 38 Safeguards

Article 39 Decision-making procedures

CHAPTER III ORGANISATION

SECTION 1 Board of Supervisors

Article 40 Composition

Article 41 Internal committees and panels

Article 42 Independence

Article 43 Tasks

Article 44 Decision-making

SECTION 2 Management Board

Article 45 Composition

Article 46 Independence

Article 47 Tasks

SECTION 3 Chairperson

Article 48 Appointment and tasks

Article 49 Independence

Article 50 Report

SECTION 4 Executive Director

Article 51 Appointment

Article 52 Independence

Article 53 Tasks

CHAPTER IV JOINT BODIES OF THE EUROPEAN SUPERVISORY

AUTHORITIES

SECTION 1 Joint Committee of European Supervisory Authorities

Article 54 Establishment

Article 55 Composition

Article 56 Joint positions and common acts

Article 57 Sub-Committees

SECTION 2 Board of Appeal

Article 58 Composition and operation

Article 59 Independence and impartiality

CHAPTER V REMEDIES

Article 60 Appeals

Article 61 Actions before the Court of Justice of the European Union

CHAPTER VI FINANCIAL PROVISIONS

Article 62 Budget of the Authority

Article 63 Establishment of the budget

Article 64 Implementation and control of the budget

Article 65 Financial rules

Article 66 Anti-fraud measures

CHAPTER VII GENERAL PROVISIONS

Article 67 Privileges and immunities

Article 68 Staff

Article 69 Liability of the Authority

Article 70 Obligation of professional secrecy

Article 71 Data protection

Article 72 Access to documents

Article 73 Language arrangements

Article 74　Headquarters Agreement

Article 75　Participation of third countries

CHAPTER VIII TRANSITIONAL AND FINAL PROVISIONS

Article 76 Preparatory actions

Article 77 Transitional staff provisions

Article 78 National provisions

Article 79 Amendments

Article 80 Repeal

Article 81 Review

Article 82　Entry into force

REGULATION （EU） NO 1094/2010 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

CHAPTER I ESTABLISHMENT AND LEGAL STATUS

Article 1 Establishment and scope of action

Article 2 European System of Financial Supervision

Article 3 Accountability of the Authorities

Article 4 Definitions

Article 5 Legal status

Article 6 Composition

Article 7　Seat

CHAPTER II TASKS AND POWERS OF THE AUTHORITY

Article 8 Tasks and powers of the Authority

Article 9 Tasks related to consumer protection and financial activities

Article 10 Regulatory technical standards

Article 11 Exercise of the delegation

Article 12 Revocation of the delegation

Article 13 Objections to regulatory technical standards

Article 14 Non-endorsement or amendment of draft regulatory technical standards

Article 15 Implementing technical standards

Article 16 Guidelines and recommendations

Article 17 Breach of Union law

Article 18 Action in emergency situations

Article 19 Settlement of disagreements between competent authorities in cross-border situations

Article 2 Settlement of disagreements between competent authorities across sectors

Article 21　Colleges of supervisors

Article 22　General provisions

Article 23 Identification and measurement of systemic risk

Article 24 Permanent capacity to respond to systemic risks

Article 25 Recovery and resolution procedures

Article 26 Development of a European network of national insurance guarantee schemes

Article 27 Crisis prevention， management and resolution

Article 28 Delegation of tasks and responsibilities

Article 29 Common supervisory culture

Article 30 Peer reviews of competent authorities

Article 31 Coordination function

Article 32 Assessment of market developments

Article 33 International relations

Article 34 Other tasks

Article 35 Collection of information

Article 36 Relationship with the ESRB

Article 37 Insurance and Reinsurance Stakeholder Group and Occupational Pensions Stakeholder Group

Article 38　Safeguards

Article 39 Decision-making procedures

CHAPTER III ORGANISATION SECTION 1 Board of Supervisors

Article 40 Composition

Article 41 Internal committees and panels

Article 42 Independence

Article 43 Tasks

Article 44 Decision making

SECTION 2　Management Board

Article 45 Composition

Article 46 Independence

Article 47 Tasks

SECTION 3 Chairperson

Article 48 Appointment and tasks

Article 49 Independence

Article 50 Report

SECTION 4 Executive Director

Article 51 Appointment

Article 52 Independence

Article 53 Tasks

CHAPTER IV JOINT BODIES OF THE EUROPEAN SUPERVISORY AUTHORITIES

SECTION 1 Joint Committee of European Supervisory Authorities

Article 54 Establishment

Article 55 Composition

Article 56 Joint positions and common acts

Article 57 Sub-Committees

SECTION 2 Board of Appeal

Article 58 Composition and operation

Article 59 Independence and impartiality

CHAPTER V REMEDIES

Article 60 Appeals

Article 61 Actions before the Court of Justice of the European Union CHAPTER VI FINANCIAL PROVISIONS

Article 62 Budget of the Authority

Article 63 Establishment of the budget

Article 64 Implementation and control of the budget

Article 65 Financial rules

Article 66 Anti-fraud measures

CHAPTER VII GENERAL PROVISIONS

Article 67 Privileges and immunities

Article 68 Staff

Article 69 Liability of the Authority

Article 70 Obligation of professional secrecy

Article 71 Data protection

Article 72 Access to documents

Article 73 Language arrangements

Article 74 Headquarters Agreement

Article 75 Participation of third countries

CHAPTER VIII　TRANSITIONAL AND FINAL PROVISIONS

Article 76 Preparatory actions

Article 77 Transitional staff provisions

Article 78 National provisions

Article 79 Amendments

Article 80 Repeal

Article 81 Review

Article 82 Entry into force

《境外资本市场重要法律文献译丛（7）·欧洲卷：欧盟金融监管体制改革法规汇编（中英文对照本）》选取了欧盟证券监管领域9项重要法律文件进行翻译。这9项法律文件是欧洲议会与欧盟理事会根据欧盟委员会《金融服务行动计划》（Financial Services Action Plan， FSAP）和《莱姆法路西计划》（Lamfalussy Process），于2003年至2009年间针对欧盟内证券市场“招募说明书”、“内幕交易和市场操纵”、“发行人透明度”、“评级机构监管”四大问题所发布的指令及修订。这些指令是当前欧洲证券监管在相关领域的基本原则和规则，旨在协调欧盟各国的有关监管制度，推进欧洲资本市场一体化进程。总体而言，这些指令使欧盟证券市场的运行和监管达到了全新的水平。