ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
27/09/2019 ESMA35-43-1076 Compliance table for Guidelines on MiFID II product governance requirements (ESMA35-43-620) , Compliance table PDF
160.41 KB
03/09/2019 ESMA70-156-1411 Confirmation of compliance with Guidelines on the application of C6 and C7 of Annex 1 of MIFID II- COMPLIANCE TABLE Compliance table PDF
103.79 KB
23/07/2019 ESMA35-43-1542 Compliance table- Guidelines on complex debt instruments and structured deposits (ESMA/2015/1787) , Compliance table PDF
144.16 KB
20/06/2019 ESMA35-43-1430 Compliance table on Guidelines on MiFID II suitability requirements , Compliance table PDF
117.21 KB
11/06/2019 ESMA70-156-1035 Final report_Call for evidence Periodic Auctions Final Report PDF
798 KB
03/05/2019 ESMA35-43-1737 Final report on integrating sustainability risks and factors in the MIFID II , , Final Report PDF
371.73 KB
03/05/2019 ESMA34-45-688 Final report on integrating sustainability risks and factors in the UCITS Directive and the AIFMD , Final Report PDF
483.4 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
131.72 KB
14/12/2018 ESMA70-156-834 Final report on the proposed amendments to RTS 11 Final Report PDF
445.64 KB
06/11/2018 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
477.73 KB
20/09/2018 ESMA70-156-177 Compliance table for the Guidelines on the calibration of circuit breakers and publication of trading halts under MiFID II (ESMA70-872942901-63) Compliance table PDF
311.86 KB
20/09/2018 ESMA70-156-350 Compliance table- Guidelines on the management body of market operators and DRSPs under MiFID II , Compliance table PDF
308.27 KB
28/05/2018 ESMA35-43-869 Guidelines on certain aspects of the MiFID II suitability requirements Final Report PDF
788.12 KB
26/03/2018 ESMA70-156-354 Final Report Amendments to Commission Delegated Regulation (EU) 2017/587 (RTS 1) Final Report PDF
434.94 KB
29/11/2017 ESMA42-111-4285 Peer review on certain aspects of the compliance function under Mi-FID I , Final Report PDF
1.25 MB
28/09/2017 ESMA70-154-266 Guidelines on the management body of market operators and data reporting service providers , Final Report PDF
546.29 KB
02/06/2017 ESMA35-43-620 Final report on guidelines on MiFID II product governance requirements Final Report PDF
713.52 KB
06/04/2017 ESMA70-872942901-17 Final report on Guidelines on the calibration of circuit breakers and the publication and reporting of trading halts under MiFID II Final Report PDF
887.97 KB
16/12/2016 2016/1667 Compliance table- Guidelines on cross-selling practices (ESMA/2016/574) , Compliance table PDF
136.94 KB
15/12/2016 2016/1093 Compliance table- Guidelines for the assessment of knowledge and competence (ESMA/2015/1886) , Compliance table PDF
138.26 KB