《歐盟金融監管體制改革法規彙編（中英文對照本）／境外資本市場重要法律文獻譯叢》編著者姚剛。
本書包括6個條例，分別是《歐洲議會與歐盟理事會第2010／78／EU號指令》、《歐洲議會與歐盟理事會**092／2010號（歐盟）條例》、《歐洲議會與歐盟理事會**093／2010號（歐盟）條例》、《歐洲議會與歐盟理事會**094／2010號（歐盟）條例》、《歐洲議會與歐盟理事會**095／2010號（歐盟）條例》、《歐洲議會與歐盟理事會**096／2010號（歐盟）條例》。

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) ***092/2010 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) ***093/2010 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) ***094/2010 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) ***095/2010 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
REGULATIONS COUNCIL REGULATION (EU) ***096/2010
GIossary
Postscript