《欧盟金融监管体制改革法规汇编（中英文对照本）／境外资本市场重要法律文献译丛》编著者姚刚。

本书包括6个条例，分别是《欧洲议会与欧盟理事会第2010／78／EU号指令》、《欧洲议会与欧盟理事会第1092／2010号（欧盟）条例》、《欧洲议会与欧盟理事会第1093／2010号（欧盟）条例》、《欧洲议会与欧盟理事会第1094／2010号（欧盟）条例》、《欧洲议会与欧盟理事会第1095／2010号（欧盟）条例》、《欧洲议会与欧盟理事会第1096／2010号（欧盟）条例》。

DIRECTIVE 2010/78/EU OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 1

Article 1　Amendments to Directive 98/26/EC 20

Article 2　Amendments to Directive 2002/87/EC 22

Article 3　Amendments to Directive 2003/6/EC 32

Article 4　Amendments to Directive 2003/41/EC 36

Article 5　Amendments to Directive 2003/71/EC 40

Article 6　Amendments to Directive 2004/39/EC 50

Article 7　Amendments to Directive 2004/109/EC 70

Article 8　Amendments to Directive 2005/60/EC 86

Article 9　Amendments to Directive 2006/48/EC 92

Article 10　Amendments to Directive 2006/49/EC 122

Article 11　Amendments to Directive 2009/65/EC 124

Article 12　Review 154

Article 13　Transposition 154

Article 14　Entry into force 156

Article 15　Addressees 156

REGULATION (EU) NO 1092/2010 OF THE EUROPEAN

PARLIAMENT AND OF THE COUNCIL 159

CHAPTER I　GENERAL PROVISIONS 174

Article 1　Establishment 174

Article 2　Definitions 176

Article 3　Mission, objectives and tasks 176

CHAPTER II　ORGANISATION 178

Article 4　Structure 178

Article 5　Chair and Vice-Chairs of the ESRB 180

Article 6　General Board 182

Article 7　Impartiality 182

Article 8　Professional secrecy 182

Article 9　Meetings of the General Board 184

Article 10　Voting modalities of the General Board 184

Article 11　Steering Committee 186

Article 12　Advisory Scientific Committee 186

Article 13　Advisory Technical Committee 188

Article 14　Other sources of advice 190

CHAPTER III　TASKS 190

Article 15　Collection and exchange of information 190

Article 16　Warnings and recommendations 192

Article 17　Follow-up of the ESRB recommendations 192

Article 18　Public warnings and recommendations 194

CHAPTER IV　FINAL PROVISIONS 194

Article 19　Accountability and reporting obligations 194

Article 20　Review 196

Article 21　Entry into force 196

REGULATION (EU) NO 1093/2010 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 199

CHAPTER I　ESTABLISHMENT AND LEGAL STATUS 236

Article 1　Establishment and scope of action 236

Article 2　European System of Financial Supervision 238

Article 3　Accountability of the Authorities 240

Article 4　Definitions 240

Article 5　Legal status 240

Article 6　Composition 242

Article 7　Seat 242

CHAPTER II　TASKS AND POWERS OF THE AUTHORITY 242

Article 8　Tasks and powers of the Authority 242

Article 9　Tasks related to consumer protection and financial activities 246

Article 10　Regulatory technical standards 248

Article 11　Exercise of the delegation 250

Article 12　Revocation of the delegation 252

Article 13　Objections to regulatory technical standards 252

Article 14　Non-endorsement or amendment of draft regulatory technical standards 254

Article 15　Implementing technical standards 254

Article 16　Guidelines and recommendations 258

Article 17　Breach of Union law 260

Article 18　Action in emergency situations 262

Article 19　Settlement of disagreements between competent authorities in cross-

border situations 264

Article 20　Settlement of disagreements between competent authorities across sectors 266

Article 21　Colleges of supervisors 266

Article 22　General provisions 270

Article 23　Identification and measurement of systemic risk 270

Article 24　Permanent capacity to respond to systemic risks 272

Article 25　Recovery and resolution procedures 272

Article 26　European system of deposit guarantee schemes 272

Article 27　European system of bank resolution and funding arrangements 274

Article 28　Delegation of tasks and responsibilities 274

Article 29　Common supervisory culture 276

Article 30　Peer reviews of competent authorities 276

Article 31　Coordination function 278

Article 32　Assessment of market developments 280

Article 33　International relations 280

Article 34　Other tasks 282

Article 35　Collection of information 282

Article 36　Relationship with the ESRB 284

Article 37　Banking Stakeholder Group 286

Article 38　Safeguards 288

Article 39　Decision-making procedures 290

CHAPTER III　ORGANISATION 292

SECTION 1　Board of Supervisors 292

Article 40　Composition 292

Article 41　Internal committees and panels 294

Article 42　Independence 294

Article 43　Tasks 294

Article 44　Decision-making 296

SECTION 2　Management Board 298

Article 45　Composition 298

Article 46　Independence 298

Article 47　Tasks 300

SECTION 3　Chairperson 300

Article 48　Appointment and tasks 300

Article 49　Independence 302

Article 50　Report 302

SECTION 4　Executive Director 304

Article 51　Appointment 304

Article 52　Independence 304

Article 53　Tasks 304

CHAPTER IV　JOINT BODIES OF THE EUROPEAN SUPERVISORY

AUTHORITIES 306

SECTION 1　Joint Committee of European Supervisory Authorities 306

Article 54　Establishment 306

Article 55　Composition 308

Article 56　Joint positions and common acts 308

Article 57　Sub-Committees 308

SECTION 2　Board of Appeal 310

Article 58　Composition and operation 310

Article 59　Independence and impartiality 312

CHAPTER V　REMEDIES314

Article 60　Appeals 314

Article 61　Actions before the Court of Justice of the European Union 314

CHAPTER VI　 FINANCIAL PROVISIONS 316

Article 62　Budget of the Authority 316

Article 63　Establishment of the budget 318

Article 64　Implementation and control of the budget 318

Article 65　Financial rules 320

Article 66　Anti-fraud measures 322

CHAPTER VII　GENERAL PROVISIONS 322

Article 67　Privileges and immunities 322

Article 68　Staff 322

Article 69　Liability of the Authority 324

Article 70　Obligation of professional secrecy 324

Article 71　Data protection 326

Article 72　Access to documents 326

Article 73　Language arrangements 326

Article 74　Headquarters Agreement 326

Article 75　Participation of third countries 328

CHAPTER VIII　TRANSITIONAL AND FINAL PROVISIONS 328

Article 76　Preparatory actions 328

Article 77　Transitional staff provisions 330

Article 78　National provisions 330

Article 79　Amendments 330

Article 80　Repeal 330

Article 81　Review 332

Article 82　Entry into force 332

REGULATION (EU) NO 1094/2010 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 337

CHAPTER I　ESTABLISHMENT AND LEGAL STATUS 376

Article 1　Establishment and scope of action 376

Article 2　European System of Financial Supervision 378

Article 3　Accountability of the Authorities 380

Article 4　Definitions 380

Article 5　Legal status 380

Article 6　Composition 380

Article 7　Seat 382

CHAPTER II　TASKS AND POWERS OF THE AUTHORITY 382

Article 8　Tasks and powers of the Authority 382

Article 9　Tasks related to consumer protection and financial activities 386

Article 10　Regulatory technical standards 386

Article 11　Exercise of the delegation 390

Article 12　Revocation of the delegation 392

Article 13　Objections to regulatory technical standards 392

Article 14　Non-endorsement or amendment of draft regulatory technical standards 392

Article 15　Implementing technical standards 394

Article 16　Guidelines and recommendations 398

Article 17　Breach of Union law 398

Article 18　Action in emergency situations 402

Article 19　Settlement of disagreements between competent authorities in cross-

border situations 404

Article 20　Settlement of disagreements between competent authorities across sectors 406

Article 21　Colleges of supervisors 406

Article 22　General provisions 408

Article 23　Identification and measurement of systemic risk 410

Article 24　Permanent capacity to respond to systemic risks 412

Article 25　Recovery and resolution procedures 412

Article 26　Development of a European network of national insurance guarantee

schemes 412

Article 27　Crisis prevention, management and resolution 412

Article 28　Delegation of tasks and responsibilities 414

Article 29　Common supervisory culture 416

Article 30　Peer reviews of competent authorities 416

Article 31　Coordination function 418

Article 32　Assessment of market developments 420

Article 33　International relations 420

Article 34　Other tasks 422

Article 35　Collection of information 422

Article 36　Relationship with the ESRB 424

Article 37　Insurance and Reinsurance Stakeholder Group and Occupational

Pensions Stakeholder Group 426

Article 38　Safeguards 428

Article 39　Decision-making procedures 432

CHAPTER III　ORGANISATION 432

SECTION 1　Board of Supervisors 432

Article 40　Composition 432

Article 41　Internal committees and panels 434

Article 42　Independence 434

Article 43　Tasks 434

Article 44　Decision making 436

SECTION 2　Management Board 438

Article 45　Composition 438

Article 46　Independence 440

Article 47　Tasks 440

SECTION 3　Chairperson 440

Article 48　Appointment and tasks 440

Article 49　Independence 442

Article 50　Report 442

SECTION 4　Executive Director 444

Article 51　Appointment 444

Article 52　Independence 444

Article 53　Tasks 446

CHAPTER IV 　JOINT BODIES OF THE EUROPEAN SUPERVISORY

AUTHORITIES 446

SECTION 1　Joint Committee of European Supervisory Authorities 446

Article 54　Establishment 446

Article 55　Composition 448

Article 56　Joint positions and common acts 448

Article 57　Sub-Committees 450

SECTION 2　Board of Appeal 450

Article 58　Composition and operation 450

Article 59　Independence and impartiality 452

CHAPTER V　REMEDIES 454

Article 60　Appeals 454

Article 61　Actions before the Court of Justice of the European Union 454

CHAPTER VI　FINANCIAL PROVISIONS 456

Article 62　Budget of the Authority 456

Article 63　Establishment of the budget 458

Article 64　Implementation and control of the budget 458

Article 65　Financial rules 460

Article 66　Anti-fraud measures 462

CHAPTER VII　GENERAL PROVISIONS 462

Article 67　Privileges and immunities 462

Article 68　Staff 462

Article 69　Liability of the Authority 464

Article 70　Obligation of professional secrecy 464

Article 71　Data protection 466

Article 72　Access to documents 466

Article 73　Language arrangements 466

Article 74　Headquarters Agreement 466

Article 75　Participation of third countries 468

CHAPTER VIII　TRANSITIONAL AND FINAL PROVISIONS 468

Article 76　Preparatory actions 468

Article 77　Transitional staff provisions 470

Article 78　National provisions 470

Article 79　Amendments 470

Article 80　Repeal 470

Article 81　Review 472

Article 82　Entry into force 472

REGULATION (EU) NO 1095/2010 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

REGULATIONS COUNCIL REGULATION (EU) NO 1096/2010

GIossary

Postscript