ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
25/08/2021 Joint Committee JC 2019 Joint guidelines on cooperation and information exchange for the purpose of Directive (EU) 2015/849 between competent authorities supervising credit and financial institutions Guidelines & Recommendations PDF
1.34 MB
25/08/2021 Joint Committee JC 2016 Joint Guidelines on the prudential assessment of acquisitions and increases of qualifying holdings in the financial sector Guidelines & Recommendations ZIP
7.53 MB
25/08/2021 Joint Committee JC 2016 Joint Guidelines on prudential assessment of acquisitions and increases of qualifying holdings Guidelines & Recommendations PDF
584.04 KB
25/08/2021 Joint Committee JC 2014 Guidelines on Consistency of supervisory practices for FiCos Guidelines & Recommendations ZIP
6.5 MB
25/08/2021 Joint Committee JC 2014 Joint Guidelines on coordination arrangements for financial conglomerates Guidelines & Recommendations PDF
310.5 KB
25/08/2021 Joint Committee JC 2014 Joint Committee Final Report on guidelines for complaints-handling for the securities (ESMA) and banking (EBA) sectors Guidelines & Recommendations ZIP
3.38 MB
10/05/2021 ESMA50-164-4285 Guidelines On outsourcing to cloud service providers Guidelines & Recommendations PDF
241.56 KB
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06/04/2021 ESMA74-362-249 Guidelines On periodic information to be submitted to ESMA by Trade Repositories , , Guidelines & Recommendations PDF
223.73 KB
05/11/2020 ESMA34-39-992 Guidelines on performance fees in UCITS and certain types of AIFs , , Guidelines & Recommendations PDF
224.69 KB
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01/04/2020 ESMA70-156-2287 Technical Advice to the European Commission on weekly position reports under MiFID II , Technical Advice PDF
231.84 KB
16/12/2019 JC/2019/81 Joint guidelines on cooperation and information exchange for the purpose of Directive (EU) 2015/849 between competent authorities supervising credit and financial institutions Guidelines & Recommendations PDF
1.34 MB
10/04/2019 JC 2019 26 Joint ESA advice on the need for legislative improvements relating to ICT risk management requirements , Technical Advice PDF
1.34 MB
10/04/2019 JC 2019 25 Joint ESA advice on the costs and benefits of developing a coherent cyber resilience testing framework for significant market participants and infrastructures , Technical Advice PDF
785.49 KB
21/03/2018 ESMA71-99-598 Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body and key function holders , , Guidelines & Recommendations ZIP
871.26 KB
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26/09/2017 ESMA71-99-598 Final Report on Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body and key function holders , , Guidelines & Recommendations PDF
1.48 MB
21/10/2015 JC/2015/061 Joint Draft Guidelines on AML_CFT RFWG Art 17 and 18 Guidelines & Recommendations PDF
630.58 KB
23/12/2014 JC/2014/092 Draft RTS on risk concentration and intra-group financial transactions under Financial Conglomerates Directive Technical Standards PDF
819.76 KB
22/12/2014 JC/GL/2014/01/SV Bilaga I: Mall för kartläggningsprocessen för det finansiella konglomeratet (JC 2014 070 , Guidelines & Recommendations XLSX
62.26 KB
22/12/2014 JC/GL/2014/01/SL Priloga I: Predloga za postopek vzporejanja za finančni konglomerat (JC 2014 070 Prilog , Guidelines & Recommendations XLSX
82.26 KB
22/12/2014 JC/GL/2014/01/SK Príloha I: Šablóna na proces mapovania finačného konglomerátu (JC 2014 070 príloha) , Guidelines & Recommendations XLSX
65.22 KB

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