ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
11/02/2020 ESMA35-43-1076 Compliance table for Guidelines on MiFID II product governance requirements (ESMA35-43-620) , Compliance table PDF
157.54 KB
11/03/2020 ESMA70-156-1434 Compliance table for Guidelines on non-significant benchmarks (ESMA70-145-1209) , Compliance table PDF
129.58 KB
18/02/2015 JC/GL/2014/43 Appendix 1 Compliance table for JC guidelines for complaints-handling for the securities (ESMA) and banking (EBA) sectors , Compliance table PDF
187.15 KB

The table contains details of the competent authorities* who comply or intend to comply with the ESAs’ Joint Guidelines on complaints-handling for the securities (ESMA) and banking (EBA) sectors.

01/10/2021 ESMA35-43-1215 Compliance table for Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body , , Compliance table PDF
278.69 KB
04/12/2019 ESMA70-21038340-46 Compliance table for the Guidelines on market making activities under the Short Selling Regulation , , Compliance table PDF
267.48 KB
04/10/2017 ESMA34-43-352 Compliance table for the Guidelines on sound remuneration policies under the UCITS Directive , Compliance table PDF
154.54 KB
21/03/2019 ESMA70-145-1345 Compliance table for the Guidelines on transaction reporting, order record keeping and clock synchronization under MiFID II , Compliance table PDF
112.12 KB
04/10/2017 ESMA34-32-316 Compliance table for the Guidelines sound remuneration policies under the AIFMD (ESMA/2016/579) , Compliance table PDF
144.26 KB
22/12/2015 JC/2015/087 Compliance Table GL financial conglomerates , Compliance table PDF
291.93 KB
08/03/2021 ESMA70-151-2536 compliance table Guidelines APC Measures , Compliance table PDF
141.15 KB
08/03/2021 ESMA70-151-2537 Compliance table Guidelines Conflict of interest , Compliance table PDF
141.4 KB
11/11/2021 ESMA34-32-898 Compliance table on Guidelines on Article 25 of the AIFMD , Compliance table PDF
179.89 KB
23/11/2021 ESMA35-43-2517 Compliance table on Guidelines on certain aspects of the MiFID II compliance function (ESMA35-36-1952) , Compliance table PDF
140.5 KB
29/10/2021 ESMA35-43-1430 Compliance table on Guidelines on MiFID II suitability requirements , Compliance table PDF
145.3 KB
23/11/2021 ESMA70-156-4754 Compliance table on Guidelines on MiFID II/MiFIR obligations on market data , Compliance table PDF
166.17 KB
24/11/2021 ESMA50-164-5210 Compliance table on Guidelines on outsourcing to cloud service providers , Compliance table PDF
172.51 KB
26/10/2021 ESMA34-49-373 Compliance table on Revised Guidelines on stress tests scenarios under Article 28 of the MMF Regulation ESMA 34-49-291 , Compliance table PDF
220.66 KB
13/02/2020 ESMA70-145-66 Compliance table regarding MAR guidelines for persons receiving market soundings , Compliance table PDF
138.03 KB
04/02/2019 ESMA70-145-67 Compliance table regarding MAR guidelines on delay in the disclosure of inside information , Compliance table PDF
177.87 KB
24/04/2014 2013/923 Compliance table- compliance guidelines , Compliance table PDF
100.87 KB