Page 41 - 期货和衍生品行业监管动态（2023年11月刊）

期货和衍生品行业监管动态

 问责制和透明度原则：这使监管机构以透明和负责的方式履行职责。

背景

2020 年，ESAs 在审查后承担起促进和监督监管独立性的任务。

为完成此任务，ESAs 密切协调，于 2021 年各自发布了报告（请阅读：欧盟

银行业管理局、欧盟保险和职业养老金管理局、欧盟证券与市场管理局），以评

估监管机构独立性的实际情况。在这些报告的基础上，根据 2021 年欧盟保险和

职业养老金管理局的标准和国际标准，ESAs 进一步合作发布了关于监管机构独

立性的联合标准。

下一步工作

监管机构可将这些标准作为提高其独立性的工具，ESAs 也可在未来将该标

准用于评估欧盟（EU）的监管独立性。

European Supervisory Authorities Publish Joint Criteria on the Independence of
Supervisory Authorities (2023/10/25)

The Three European Supervisory Authorities– the European Banking

Authority (EBA), European Insurance and Occupational Pensions Authority

(EIOPA) and European Securities and Markets Authority (ESMA) (EBA, EIOPA

and ESMA – the ESAs) – today published their joint criteria on the independence

of supervisory authorities.

Supervisory independence is key to ensure that fair, effective and transparent

decisions are taken by appropriately resourced supervisory authorities. These

authorities can in turn provide effective and adequate protection for customers and

consumers of financial services ensuring confidence in the financial system.

The independence criteria are organised around four key principles:

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