Progress: Procedure completed
| Role | Committee | Rapporteur | Shadows |
|---|---|---|---|
| Lead | CONT |
AYALA SENDER Inés ( S&D)
|
ZDECHOVSKÝ Tomáš ( PPE),
FITTO Raffaele ( ECR),
ALI Nedzhmi ( ALDE),
JÁVOR Benedek ( Verts/ALE),
VALLI Marco ( EFDD),
KAPPEL Barbara ( ENF)
|
| Committee Opinion | ECON |
LOONES Sander ( ECR)
|
Doru-Claudian FRUNZULICĂ ( S&D),
Barbara KAPPEL ( ENF),
Werner LANGEN ( PPE),
Marco VALLI ( EFDD),
Miguel VIEGAS ( GUE/NGL)
|
Lead committee dossier:
Subjects
Events
PURPOSE: to grant discharge to the European Securities and Markets Authority (ESMA) for the financial year 2015.
NON-LEGISLATIVE ACT: Decision (EU) 2017/1696 of the European Parliament on discharge in respect of the implementation of the budget of the European Securities and Markets Authority for the financial year 2015.
CONTENT: with the present decision, the European Parliament grants discharge to the Executive Director of the European Securities and Markets Authority for the implementation of the latter’s budget for the financial year 2015.
This decision is in line with the European Parliament's resolution adopted on 27 April 2017 and comprises a series of observations that form an integral part of the discharge decision (please refer to the summary of the opinion of 27 April 2017).
Amongst Parliament’s main observations in the resolution accompanying the discharge decision, the latter noted that, in 2015, the Authority implemented a policy on conflict of interest for staff, which, inter alia , requires all members of staff to fill out an annual declaration regarding potential conflicts of interest. Also in 2015, the Authority's management board adopted the Anti-Fraud Strategy 2015-2017, which aims at enhancing the Authority's capabilities in preventing, detecting, investigating and sanctioning potential fraud cases.
Parliament concluded that the Authority's financing arrangement is to be reviewed and called on the Commission to examine the possibility of modifying the current financing arrangement by introducing additional appropriately and proportionately calibrated fees for market participants, possibly replacing in part the contributions of national competent authorities whilst ensuring its autonomy and supervisory action.
The European Parliament decided to grant the Executive Director of the European Securities and Markets Authority (ESMA) discharge in respect of the implementation of ESMA’s budget for the financial year 2015.
The vote on the decision on discharge covers the closure of the accounts (in accordance with Annex IV, Article 5 (1) (a) to Parliament’s Rules of Procedure).
Noting that the Court of Auditors has stated that it has obtained reasonable assurances that ESMA’s annual accounts for the financial year 2015 are reliable and that the underlying transactions are legal and regular, Parliament adopted by 502 votes to 115 with 8 abstentions, a resolution containing a series of recommendations, which form an integral part of the decision on discharge and which add to the general recommendations set out in the resolution on performance, financial management and control of EU agencies .
These recommendations may be summarised as follows:
Agency’s financial statements : Parliament noted that the final budget of the Agency for the financial year 2015 was EUR 34 031 603, representing an increase of 2.3 % compared to 2014, which can be explained by the new tasks given to the Agency. Budget and financial management : it acknowledged that the budget monitoring efforts during the financial year 2015 resulted in a budget implementation rate of 99.64 %, representing an increase of 0.08 % compared to 2014, and that the payment appropriations execution rate was at 84.54 %, representing an increase of 3.38 % compared to 2014. It also noted the reduction in the 2015 budget through two subsequent budget amendments, thereby using Union funds rationally. It suggested that, as the Authority’s workload is increasingly shifting from legislative tasks to supervisory convergence and enforcement, the Authority’s budget and manpower should be allocated accordingly. Commitments and carry-overs : Parliament stated that the carry-overs were mainly related to the multiannual nature of the Authority’s large IT projects, as well as to mission expenses that could only be reimbursed in 2016. It noted that the carry-overs were not always at odds with the budgetary principle of annularity.
Parliament also made a series of observations regarding transfers, procurement, recruitment procedures and the prevention and management of conflicts of interests and internal audits.
As regards its mandate, Parliament noted that, wherever the Authority is authorised to draw up Level 2 and Level 3 measures, it should pay particular attention when drafting these standards to the specific features of the various national markets and that market participants and consumer protection organisations concerned should be involved at an early stage in the standard-setting process and during drafting and implementation stages.
Lastly, it stated that the Authority does not exercise all the prerogatives established in its legal framework. It underlined that it should ensure that resources are maximised in order to fully fulfil its legal mandate and that a closer focus on the mandate given to it by the European Parliament and the Council could result in a more efficient use of its resources and a more effective achievement of its objectives. When drafting implementing legislation , the Authority needs to inform the European Parliament and the Council about its activities in a timely, regular and comprehensive manner.
The Committee on Budgetary Control adopted the report by Inés AYALA SENDER (S&D, ES) on discharge in respect of the implementation of the budget of the European Securities and Markets Authority (ESMA) for the financial year 2015.
The committee called on the European Parliament to grant the Executive Director of the Authority discharge in respect of the implementation of the Authority’s budget for the financial year 2015.
Noting that the Court of Auditors stated that it had obtained reasonable assurance that the annual accounts of the Authority for the financial year 2015 were reliable and that the underlying transactions were legal and regular, Members called on Parliament to approve the closure of the Authority’s accounts. They made, however, a number of recommendations that needed to be taken into account when the discharge is granted, in addition to the general recommendations that appear in the draft resolution on performance, financial management and control of EU agencies :
Agency’s financial statements : Members noted that the final budget of the Agency for the financial year 2015 was EUR 34 031 603, representing an increase of 2.3 % compared to 2014, which can be explained by the new tasks given to the Agency. Budget and financial management : Members acknowledged that the budget monitoring efforts during the financial year 2015 resulted in a budget implementation rate of 99.64 %, representing an increase of 0.08 % compared to 2014, and that the payment appropriations execution rate was at 84.54 %, representing an increase of 3.38 % compared to 2014. They also noted the reduction in the 2015 budget through two subsequent budget amendments, thereby using Union funds rationally. They suggested that, as the Authority’s workload is increasingly shifting from legislative tasks to supervisory convergence and enforcement, the Authority’s budget and manpower should be allocated accordingly. Commitments and carry-overs : Members stated that the carry-overs were mainly related to the multiannual nature of the Authority’s large IT projects, as well as to mission expenses that could only be reimbursed in 2016. They noted that the carry-overs were not always at odds with the budgetary principle of annularity.
Members also made a series of observations regarding transfers, procurement, recruitment procedures and the prevention and management of conflicts of interests and internal audits.
Lastly, they stated that the Authority does not exercise all the prerogatives established in its legal framework. They underlined that it should ensure that resources are maximised in order to fully fulfil its legal mandate and that a closer focus on the mandate given to it by the European Parliament and the Council could result in a more efficient use of its resources and a more effective achievement of its objectives. When drafting implementing legislation , the Authority needs to inform the European Parliament and the Council about its activities in a timely, regular and comprehensive manner.
Having examined the revenue and expenditure accounts for the financial year 2015 and the balance sheet as at 31 December 2015 of the European Securities and Markets Authority (ESMA), as well as the Court of Auditors' report on the annual accounts of the Authority for the financial year 2015, accompanied by the Authority's replies to the Court's observations, the Council recommended the European Parliament to give a discharge to the Executive Director of the Agency in respect of the implementation of the budget for the financial year 2015.
The Council welcomed the Court's opinion that, in all material respects, the Authority's annual accounts present fairly its financial position as at 31 December 2015 and the results of its operations and its cash flows for the year then ended, in accordance with the provisions of the Authority's Financial Regulation, and that the underlying transactions for 2015 are legal and regular in all material respects.
Nevertheless, the following observation was made:
financial programming : the Council noted that a high level of commitment appropriations was carried over to 2016. It encouraged the Authority to continue improving its financial programming and monitoring of the budget implementation, in order to reduce the level of commitments carried over to the following financial year to the minimum strictly necessary.
PURPOSE: presentation of the EU Court of Auditors’ report on the annual accounts of the European Securities and Markets Authority for the financial year 2015, together with the Authority’s reply.
CONTENT: in accordance with the tasks conferred on the Court of Auditors by the Treaty on the Functioning of the European Union, the Court presents to the European Parliament and to the Council, in the context of the discharge procedure, a Statement of Assurance as to the reliability of the annual accounts of each institution, body or agency of the EU, and the legality and regularity of the transactions underlying them, on the basis of an independent external audit.
This audit focused on the annual accounts of the European Securities and Markets Authority (ESMA). To recall, the Authority’s task is to improve the functioning of the EU internal financial market by ensuring a high, effective and consistent level of regulation and supervision, promoting the integrity and stability of the financial systems and strengthening international supervisory coordination in order to ensure the stability and effectiveness of the financial system.
Statement of assurance : pursuant to the provisions of Article 287 of the Treaty on the Functioning of the European Union (TFEU), the Court has audited:
the annual accounts of the Authority, which comprise the financial statements and the reports on the implementation of the budget for the financial year ended 31 December 2015; and the legality and regularity of the transactions underlying those accounts.
Opinion on the reliability of the accounts : in the Court’s opinion, the Authority’s annual accounts present fairly, in all material respects, its financial position as at 31 December 2015 and the results of its operations and its cash flows for the year then ended, in accordance with the provisions of its Financial Regulation and the accounting rules adopted by the Commission’s accounting officer.
Opinion on the legality and regularity of the transactions underlying the accounts : in the Court’s opinion, the transactions underlying the annual accounts for the year ended 31 December 2015 are legal and regular in all material respects.
The report made a series of observations on the budgetary and financial management of the Authority, accompanied by the latter’s response. The main observations may be summarised as follows:
The Court’s comments :
budgetary management : the Court noted that the level of committed appropriations carried over was high for administrative expenditure at EUR 2.2 million. These carry-overs mainly relate to IT projects for which services had not yet been delivered or invoices will only be received in 2016. The level of committed appropriations carried over was also high for operational expenditure at EUR 2.3 million. These carry-overs mainly relate to IT projects for which services had not yet been delivered or invoices will only be received in 2016.
The Authority’s reply :
budgetary management : ESMA acknowledged the reported level of committed appropriations carried over and the explanation related to the multi-annual nature of the ESMA’s large EU IT projects is confirmed.
Lastly, the Court of Auditors’ report also contained a summary of the Authority’s key figures in 2015 :
Budget : EUR 36.7 million. Staff : 186 including officials, temporary and contract staff and seconded national experts.
PURPOSE: presentation by the Commission of the consolidated annual accounts of the European Union for the financial year 2015, as part of the 2015 discharge procedure.
Analysis of the accounts of the European Securities and Markets Authority (ESMA) .
CONTENT: the organisational governance of the EU consists of institutions, agencies and other EU bodies whose expenditure is included in the general budget of the Union.
The EU's operational expenditure of these institutions takes different forms, depending on how the money is paid out and managed.
From 2014 onwards, the Commission classifies its expenditure as follows:
Direct management : the budget is implemented directly by the Commission services. Indirect management : the Commission confers tasks of implementation of the budget to bodies of EU law or national law, such as the EU agencies . Shared management : under this method of budget implementation tasks are delegated to Member States. About 80 % of the expenditure falls under this management mode covering such areas as agricultural spending and structural actions.
This Commission document concerns the EU's consolidated accounts for the year 2015 and details how spending by the EU institutions and bodies was carried out. The consolidated annual accounts of the EU provide financial information on the activities of the institutions, agencies and other bodies of the EU from an accrual accounting and budgetary perspective.
It is the responsibility of the Commission's Accounting Officer to prepare the EU's consolidated annual accounts and ensure that they present fairly, in all material aspects, the financial position, the result of the operations and the cash flows of the EU institutions and bodies, including the European Securities and Markets Authority (ESMA), with a view to granting discharge.
Discharge procedure : the final step of a budget lifecycle is the discharge of the budget for a given financial year. It represents the political aspect of the external control of budget implementation and is the decision by which the European Parliament, acting on a Council recommendation, "releases" the Commission (and other EU bodies) from its responsibility for management of a given budget by marking the end of that budget's existence. The European Parliament is the discharge authority within the EU.
The discharge procedure may produce three outcomes: (i) the granting; (ii) postponement or; (iii) the refusal of the discharge.
The final discharge report including specific recommendations to the Commission for action is adopted in plenary by the European Parliament and are subject to an annual follow up report in which the Commission outlines the concrete actions it has taken to implement the recommendations made.
Each agency is subject to its own discharge procedure, including the ESMA.
The European Securities and Markets Authority (ESMA): the Authority, which is located in Paris (FR), was set up by Regulation (EU) No 1095/2010 of the European Parliament and of the Council with a view to protecting the public interest by contributing to the short, medium and long-term stability and efficiency of the financial system for the economy of the European Union.
As regards the ESMA’s accounts, these are presented in detail in the document on the consolidated annual accounts of the European Union for 2015:
Commitment appropriations :
- committed : EUR 20 million;
- paid : EUR 20 million;
- carried-over : 0.
Payment appropriations :
- committed : EUR 26 million;
- paid : EUR 22 million;
- carried-over : EUR 3 million.
For further details on expenditure, please refer to the final accounts of the Securities and Market Authority .
PURPOSE: presentation by the Commission of the consolidated annual accounts of the European Union for the financial year 2015, as part of the 2015 discharge procedure.
Analysis of the accounts of the European Securities and Markets Authority (ESMA) .
CONTENT: the organisational governance of the EU consists of institutions, agencies and other EU bodies whose expenditure is included in the general budget of the Union.
The EU's operational expenditure of these institutions takes different forms, depending on how the money is paid out and managed.
From 2014 onwards, the Commission classifies its expenditure as follows:
Direct management : the budget is implemented directly by the Commission services. Indirect management : the Commission confers tasks of implementation of the budget to bodies of EU law or national law, such as the EU agencies . Shared management : under this method of budget implementation tasks are delegated to Member States. About 80 % of the expenditure falls under this management mode covering such areas as agricultural spending and structural actions.
This Commission document concerns the EU's consolidated accounts for the year 2015 and details how spending by the EU institutions and bodies was carried out. The consolidated annual accounts of the EU provide financial information on the activities of the institutions, agencies and other bodies of the EU from an accrual accounting and budgetary perspective.
It is the responsibility of the Commission's Accounting Officer to prepare the EU's consolidated annual accounts and ensure that they present fairly, in all material aspects, the financial position, the result of the operations and the cash flows of the EU institutions and bodies, including the European Securities and Markets Authority (ESMA), with a view to granting discharge.
Discharge procedure : the final step of a budget lifecycle is the discharge of the budget for a given financial year. It represents the political aspect of the external control of budget implementation and is the decision by which the European Parliament, acting on a Council recommendation, "releases" the Commission (and other EU bodies) from its responsibility for management of a given budget by marking the end of that budget's existence. The European Parliament is the discharge authority within the EU.
The discharge procedure may produce three outcomes: (i) the granting; (ii) postponement or; (iii) the refusal of the discharge.
The final discharge report including specific recommendations to the Commission for action is adopted in plenary by the European Parliament and are subject to an annual follow up report in which the Commission outlines the concrete actions it has taken to implement the recommendations made.
Each agency is subject to its own discharge procedure, including the ESMA.
The European Securities and Markets Authority (ESMA): the Authority, which is located in Paris (FR), was set up by Regulation (EU) No 1095/2010 of the European Parliament and of the Council with a view to protecting the public interest by contributing to the short, medium and long-term stability and efficiency of the financial system for the economy of the European Union.
As regards the ESMA’s accounts, these are presented in detail in the document on the consolidated annual accounts of the European Union for 2015:
Commitment appropriations :
- committed : EUR 20 million;
- paid : EUR 20 million;
- carried-over : 0.
Payment appropriations :
- committed : EUR 26 million;
- paid : EUR 22 million;
- carried-over : EUR 3 million.
For further details on expenditure, please refer to the final accounts of the Securities and Market Authority .
Documents
- Results of vote in Parliament: Results of vote in Parliament
- Decision by Parliament: T8-0177/2017
- Debate in Parliament: Debate in Parliament
- Committee report tabled for plenary: A8-0124/2017
- Amendments tabled in committee: PE600.887
- Committee opinion: PE595.632
- Supplementary non-legislative basic document: 05873/2017
- Committee draft report: PE593.873
- Court of Auditors: opinion, report: OJ C 449 01.12.2016, p. 0162
- Court of Auditors: opinion, report: N8-0129/2016
- Non-legislative basic document: EUR-Lex
- Non-legislative basic document: COM(2016)0475
- Non-legislative basic document published: EUR-Lex
- Non-legislative basic document published: COM(2016)0475
- Non-legislative basic document: EUR-Lex COM(2016)0475
- Court of Auditors: opinion, report: OJ C 449 01.12.2016, p. 0162 N8-0129/2016
- Committee draft report: PE593.873
- Supplementary non-legislative basic document: 05873/2017
- Committee opinion: PE595.632
- Amendments tabled in committee: PE600.887
Votes
A8-0124/2017 - Inés Ayala Sender - Résolution #
NI| Amendments | Dossier |
| 49 |
2016/2188(DEC)
2017/01/17
ECON
33 amendments...
Amendment 1 #
Draft opinion Paragraph -1 (new) -1. Underlines that ESMA's role is essential in order to ensure financial stability, transparency, better integrated and safer financial markets, as well as a high degree of consumer protection in the Union;
Amendment 10 #
Draft opinion Paragraph 2 a (new) 2a. Notes in this connection that a closer focus on the mandate given to it by the European legislator could result in a more efficient use of its resources and a more effective achievement of its objectives;
Amendment 11 #
Draft opinion Paragraph 3 Amendment 12 #
Draft opinion Paragraph 3 Amendment 13 #
Draft opinion Paragraph 3 3.
Amendment 14 #
Draft opinion Paragraph 3 3. Welcomes the initiative reducing the 2015 budget through two subsequent budget amendments, thereby using Union funds rationally; believes that ESMA’s budget still has rationalisation potential;
Amendment 15 #
Draft opinion Paragraph 3 3. Welcomes the initiative reducing the 2015 budget through two subsequent budget amendments, thereby using Union funds rationally; believes that ESMA’s budget still has rationalisation potential; stresses, therefore, that any potential increases in ESMA’s means should be accompanied by adequate rationalisation measures and defended and explained thoroughly in a clear, detailed and understandable defence report before the European Parliament and made publically available;
Amendment 16 #
Draft opinion Paragraph 3 3. Welcomes the initiative reducing the 2015 budget through two subsequent budget amendments, thereby using Union funds rationally; believes that ESMA’s budget still has rationalisation potential; stresses, therefore, that any potential increases in ESMA’s means should be accompanied by adequate rationalisation measures; suggests that, as ESMA's workload is increasingly shifting from legislative tasks to supervisory convergence and enforcement, ESMA's budget and manpower should shift accordingly;
Amendment 17 #
Draft opinion Paragraph 3 a (new) 3 a. Stresses the importance of involving consumer protection organisations in the coordination work at EU level and ensuring that consumers' voices are heard during drafting and implementation stages;
Amendment 18 #
Draft opinion Paragraph 3 a (new) 3 a. Believes that ESMA should fully use the leeway provided by its mandate to effectively foster regulatory proportionality;
Amendment 19 #
Draft opinion Paragraph 3 b (new) 3 b. Regrets that supervision of consumer protection legislation is uneven throughout Member States, calls on the Commission to ensure that national competent authorities have a strong consumer protection mandate and the powers and resources they need to tackle consumer detriment and ensure compliance with consumer protection legislation and that the ESAs contribute to and promote convergent supervisory practices at a high-level in the area of consumer protection;
Amendment 2 #
Draft opinion Paragraph 1 1. Acknowledges that, in the opinion of the Court of Auditors, ESMA
Amendment 20 #
Draft opinion Paragraph 3 b (new) 3 b. Notes with concern that ESMA does not fully exercise all its prerogatives established in its legal framework and in particular when it comes to breaches of EU law, peer reviews, binding mediation and consumer protection; underlines that ESMA should make sure that resources are maximised in order to fully fulfil its legal mandate;
Amendment 21 #
Draft opinion Paragraph 4 4. Concludes that ESMA’s financing arrangement is to be reviewed; calls on the Commission to examine the possibility of modifying the current financing arrangement by introducing additional appropriately and proportionately calibrated fees for market participants,
Amendment 22 #
Draft opinion Paragraph 4 4.
Amendment 23 #
Draft opinion Paragraph 4 4. Concludes that ESMA’s financing arrangement is to be reviewed; calls on the Commission to examine the possibility of modifying the current financing arrangement by introducing additional appropriately and proportionately calibrated fees for market participants,
Amendment 24 #
Draft opinion Paragraph 4 4. Concludes that ESMA’s financing arrangement is to be reviewed; calls on the Commission to examine the possibility of modifying the current financing arrangement by introducing additional appropriately and proportionately calibrated fees for directly supervised market participants, possibly replacing in part the contributions of national competent authorities;
Amendment 25 #
Draft opinion Paragraph 4 a (new) 4 a. Highlights the importance of contributions of national competent authorities in guaranteeing national interests; points out that the banking industry already contributes heavily to regulation and supervision (e.g. SSM fees 2016: € 404.5 million; SRB contributions 2017: € 90.7 million);
Amendment 26 #
Draft opinion Paragraph 4 a (new) 4 a. Stresses that, while carrying out its work and in particular when drafting implementing legislation, ESMA needs to regularly and comprehensively inform the Union legislator about its activities;
Amendment 27 #
Draft opinion Paragraph 4 b (new) 4 b. Acknowledges a deteriorating profitability of EU banks as pointed out in the Eurofi Financial Forum 2016 in Bratislava and stresses the financial impact of low and negative interest rates; takes note that any possible shift in financing arrangements by market participants should be postponed until the systemic risk sensitivity in the aftermath of the crisis has been solved;
Amendment 28 #
Draft opinion Paragraph 5 5. Considers that the minutes of meetings of the Board of Supervisors, which are publicly available, should provide better insight into the discussions held, members’ positions and voting behaviour;
Amendment 29 #
Draft opinion Paragraph 5 5. Considers that the minutes of meetings of the Board of Supervisors, which are publicly available, should provide better insight into the discussions held, members’ positions and voting behaviour; believes that outreach to
Amendment 3 #
Draft opinion Paragraph 1 1. Acknowledges that, in the opinion of the Court of Auditors, ESMA’s transactions underlying the annual accounts for the year ended 31 December 2015 are legal and regular in all material aspects; deplores that ESMA’s follow-up on the Court’s comments made in its 2011 and 2012 reports have still not been fully implemented; notes, however, that the Court of Auditors' assessment is very brief and offers few suggestions for improving the efficiency of ESMA's budget management;
Amendment 30 #
Draft opinion Paragraph 5 5. Considers that the minutes of meetings of the Board of Supervisors, which are publicly available, should provide
Amendment 31 #
Draft opinion Paragraph 5 5. Considers that the minutes of meetings of the Board of Supervisors and of the Stakeholder Groups, which are publicly available, should be published more swiftly to reduce the current time lag of up to three months between meetings and disclosure of minutes and that they should provide better insight into the discussions held, members
Amendment 32 #
Draft opinion Paragraph 5 a (new) 5a. Notes that, wherever ESMA is authorised to draw up Level 2 and Level 3 measures, it should pay particular attention when drafting these standards to the specific features of the various national markets; stresses in this connection that the market participants concerned should be involved extensively and at an early stage in the standard- setting process;
Amendment 33 #
Draft opinion Paragraph 5 a (new) 5 a. Welcomes that ESMA has already established a whistle-blower channel thereby taking a frontrunner position among the ESAs;
Amendment 4 #
Draft opinion Paragraph 1 a (new) 1 a. Recalls that the European Parliament was a driving force behind setting up a new and comprehensive European System of Financial Supervision (ESFS) including the three European Supervisory Authorities (ESAs) to ensure a better financial supervision system after the financial crisis;
Amendment 5 #
Draft opinion Paragraph 1 b (new) 1 b. Underlines the important role the European Supervisory Authorities (ESAs) play regarding effective and coherent supervision of the financial system, better coordination between national authorities, and fostering consistent application of EU law;
Amendment 6 #
Draft opinion Paragraph 2 2. Stresses that,
Amendment 7 #
Draft opinion Paragraph 2 2. Stresses that, while ensuring that all assignments are carried out in full, ESMA should carefully adhere to the tasks assigned to it by the Union legislator and
Amendment 8 #
Draft opinion Paragraph 2 2. Stresses that, while ensuring that all assignments are carried out in full, ESMA should carefully adhere to the tasks assigned to it by the Union legislator
Amendment 9 #
Draft opinion Paragraph 2 2. Stresses that, while ensuring that all assignments are carried out in full and within deadline, ESMA
source: 597.474
2017/03/07
CONT
16 amendments...
Amendment 1 #
Proposal for a decision 1 1 Paragraph 1 1. Grants the Executive Director of the European Securities and Markets Authority discharge in respect of the implementation of the Authority’s budget for the financial year
Amendment 10 #
Motion for a resolution Paragraph 8 8. Takes note that the Authority aims to reach the best possible gender and geographical balance during its recruitment process; notes that the Authority’s global gender balance was at 44 %
Amendment 11 #
Motion for a resolution Paragraph 12 12. Notes that Management Board members of the Authority are required to sign a declaration of the absence of conflict of interest in contrast to a declaration of interests
Amendment 12 #
Motion for a resolution Paragraph 12 12. Notes that Management Board members of the Authority are required to sign a declaration of the absence of conflict of interest in contrast to a declaration of interests, but that declarations and the CVs of its Board members are not published on the Agency’s website; calls on the agency to publish such documents and allows the public the necessary overview on its senior management;
Amendment 13 #
Motion for a resolution Paragraph 12 12. Notes that Management Board members of the Authority are required to sign a declaration of the absence of conflict of interest in contrast to a declaration of interests, but that declarations and the CVs of its Board members are not published on the Agency’s website; encourages the Authority to remedy the situation;
Amendment 14 #
Motion for a resolution Paragraph 12 12. Notes that Management Board members of the Authority are required to sign a declaration of the absence of conflict of interest in contrast to a declaration of interests, but that declarations and the CVs of its Board members are not published on the Agency’s website; notes that this practice does not further transparency and that their declarations and CVs should therefore be published without delay;
Amendment 15 #
Motion for a resolution Paragraph 15 15. Notes with satisfaction that the Authority has taken specific initiatives in order to increase transparency relating to its contacts with stakeholders and that are governed by its Ethics Rules; notes also that engagements with stakeholders are centrally coordinated and recorded as part of its external communications policy and procedures; observes that the Authority publishes the agendas of the Chairman and the Executive Director on its website, indicating their participation in conferences, meetings with stakeholders, media representatives as well as any other institutions and relevant activities, and furthermore since July 2016, the Authority also publishes on its website meetings between external stakeholders and ESMA staff; asks the Authority to inform the discharge authority on ethics rules alleged and confirmed infringements, how it has dealt with these infringements, and how it will avoid them in the future;
Amendment 16 #
Motion for a resolution Paragraph 15 a (new) 15 a. Considers that the minutes of meetings of the Board of Supervisors and of the Stakeholder Groups, which are publicly available, should be published immediately after the meeting to provide better insight into the discussions held, members' positions and voting behaviour; believes that outreach to EU citizens could also be enhanced by web streaming events; is concerned about de facto unequal accessibility of documents and information from internal meetings to different stakeholders, including the European Parliament; is of the opinion that ESMA should establish a secure channel for whistle-blowers in the framework of its action plan for the years to come.
Amendment 2 #
Proposal for a decision 1 Paragraph 1 1.
Amendment 3 #
Proposal for a decision 2 2 Paragraph 1 1. Approves the closure of the accounts of the European Securities and Markets Authority for the financial year
Amendment 4 #
Proposal for a decision 2 Paragraph 1 1.
Amendment 5 #
Motion for a resolution Recital C a (new) C a. whereas in the context of the discharge procedure, Parliament stresses the special importance of further strengthening the democratic legitimacy of the institutions of the Union by improving transparency and accountability, implementing the concept of performance based budgeting and good governance of human resources;
Amendment 6 #
Motion for a resolution Paragraph 1 1. Notes with concern from the Court’s report that regarding the three comments made in the Court’s 2011 and 2012 reports, the status of corrective action is still marked as “Ongoing”;
Amendment 7 #
Motion for a resolution Paragraph 1 1. Notes from the Court’s report that regarding the three comments made in the Court’s 2011 and 2012 reports, the status of corrective action is still marked as “Ongoing”; urges the agency for this corrective actions to be implemented as quickly as possible and the results communicated to the discharge authority;
Amendment 8 #
Motion for a resolution Paragraph 4 4. Observes from the Court’s report that the level of committed appropriations carried forward to 2016 was at 26 % for Title II (administrative expenditure) and at 33 % for Title III (operational expenditure); notes that these carry forwards are mainly related to the multiannual nature of the Authority’s large IT projects, as well as mission expenses that could only be reimbursed in 2016;
Amendment 9 #
Motion for a resolution Paragraph 4 4. Observes from the Court’s report that the level of committed appropriations carried forward to 2016 was at 26 % for Title II (administrative expenditure) and at 33 % for Title III (operational expenditure); notes that these carry forwards are mainly related to the multiannual nature of the Authority’s large IT projects, as well as mission expenses that could only be reimbursed in 2016; points out that the carryovers are often partly or fully justified by the multiannual nature of the centre’ operational programmes, and do not necessarily indicate weaknesses in budget planning and implementation nor are they always at odds with the budgetary principle of annularity, in particular if they are planned in advance by the Centre and communicated to the Court; asks the Agency to keep volume to be carried over to the next year as low as possible;
source: 600.887
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Committee referral announced in Parliament |
| events/2/type |
Old
Vote in committee, 1st reading/single readingNew
Vote in committee |
| events/3 |
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| events/3 |
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| events/4/docs |
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| events/6 |
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| events/6 |
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| events/7/type |
Old
Decision by Parliament, 1st reading/single readingNew
Decision by Parliament |
| committees/0 |
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| committees/0 |
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| committees/1 |
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| committees/1 |
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| events/3/docs/0/url |
Old
http://www.europarl.europa.eu/sides/getDoc.do?type=REPORT&mode=XML&reference=A8-2017-0124&language=ENNew
http://www.europarl.europa.eu/doceo/document/A-8-2017-0124_EN.html |
| events/6 |
|
| events/6/docs/0/url |
Old
http://www.europarl.europa.eu/sides/getDoc.do?type=TA&language=EN&reference=P8-TA-2017-0177New
http://www.europarl.europa.eu/doceo/document/TA-8-2017-0177_EN.html |
| events/7 |
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| activities |
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| commission |
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| committees/0 |
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| committees/0 |
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| committees/1 |
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| committees/1 |
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| docs |
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| events |
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| links |
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| other |
|
| procedure/dossier_of_the_committee |
Old
CONT/8/07507New
|
| procedure/final/title |
Old
OJ L 252 29.09.2017, p. 0278New
OJ L 252 29.09.2017, p. 0278 |
| procedure/final/url |
Old
http://eur-lex.europa.eu/legal-content/EN/TXT/?uri=OJ:L:2017:252:TOCNew
https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=OJ:L:2017:252:TOC |
| procedure/subject |
Old
New
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| activities/6 |
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| procedure/final |
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| procedure/stage_reached |
Old
Procedure completed, awaiting publication in Official JournalNew
Procedure completed |
| activities/5/docs/0 |
|
| activities/5/type |
Old
Decision by Parliament, 1st reading/single readingNew
Results of vote in Parliament |
| activities/0/docs/0/celexid |
Old
CELEX:52016PC0475(01):ENNew
CELEX:52016DC0475:EN |
| activities/0/docs/0/celexid |
Old
CELEX:52016DC0475:ENNew
CELEX:52016PC0475(01):EN |
| activities/5/docs/0/text |
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| activities/5 |
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| procedure/stage_reached |
Old
Awaiting Parliament 1st reading / single reading / budget 1st stageNew
Procedure completed, awaiting publication in Official Journal |
| activities/0 |
|
| activities/0/body |
Old
EPNew
EC |
| activities/0/commission |
|
| activities/0/date |
Old
2017-04-27T00:00:00New
2016-07-11T00:00:00 |
| activities/0/docs |
|
| activities/0/type |
Old
Vote in plenary scheduledNew
Non-legislative basic document published |
| activities/4/docs |
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| activities/4/type |
Old
Debate in plenary scheduledNew
Debate in Parliament |
| activities/3/docs/0/text |
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| activities/3/docs |
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| activities/4/type |
Old
Indicative plenary sitting date, 1st reading/single readingNew
Debate in plenary scheduled |
| activities/5 |
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| activities/3 |
|
| procedure/stage_reached |
Old
Awaiting committee decisionNew
Awaiting Parliament 1st reading / single reading / budget 1st stage |
| activities/2 |
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| activities/2 |
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| activities/3 |
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| activities/2/date |
Old
2017-03-23T00:00:00New
2017-03-22T00:00:00 |
| activities/0/docs/0/celexid |
CELEX:52016DC0475:EN
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| activities/0/docs/0/celexid |
CELEX:52016DC0475:EN
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| activities/0/commission/0/DG/url |
Old
http://ec.europa.eu/dgs/budget/New
http://ec.europa.eu/info/departments/budget_en |
| activities/1/committees/0/shadows/6/mepref |
Old
53b2d70eb819f205b0000008New
53b2dbc9b819f205b0000096 |
| activities/1/committees/0/shadows/6/name |
Old
ALIOT LouisNew
KAPPEL Barbara |
| committees/0/shadows/6/mepref |
Old
53b2d70eb819f205b0000008New
53b2dbc9b819f205b0000096 |
| committees/0/shadows/6/name |
Old
ALIOT LouisNew
KAPPEL Barbara |
| other/0/dg/url |
Old
http://ec.europa.eu/dgs/budget/New
http://ec.europa.eu/info/departments/budget_en |
| activities/0/docs/0/text |
|
| activities/1 |
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| activities/2/committees |
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| activities/2/date |
Old
2016-10-04T00:00:00New
2017-03-23T00:00:00 |
| activities/2/type |
Old
Committee referral announced in Parliament, 1st reading/single readingNew
Vote scheduled in committee, 1st reading/single reading |
| committees/0/shadows/0 |
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| committees/0/shadows/1 |
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| committees/0/shadows/2 |
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| committees/0/shadows/4 |
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| committees/0/shadows/5 |
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| committees/0/shadows/6 |
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| committees/1/date |
2016-09-15T00:00:00
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| committees/1/rapporteur |
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| activities/1 |
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| procedure/dossier_of_the_committee |
CONT/8/07507
|
| procedure/stage_reached |
Old
Preparatory phase in ParliamentNew
Awaiting committee decision |
| activities/0/commission/0 |
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| other/0 |
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| activities |
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| committees |
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| links |
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| other |
|
| procedure |
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