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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
13/01/2021 ESMA50-164-4045 Guidelines on the reporting to Competent Authorities under Article 37 of the MMF Regulation Fund Management Compliance table PDF
145.06 KB
08/01/2021 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) MiFID - Secondary Markets Compliance table PDF
129.28 KB
18/12/2020 ESMA34-49-186 Confirmation of compliance with Guidelines- MMF Stress test guidelines Fund Management, Guidelines and Technical standards Compliance table PDF
136.41 KB
13/11/2020 ESMA34-32-699 Guidelines compliance table- Guidelines on model MoU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities (ESMA/2013/998) Fund Management, Guidelines and Technical standards Compliance table PDF
113.46 KB
27/05/2020 ESMA35-43-2183 Compliance table- Guidelines for the assessment of knowledge and competence 2020 Guidelines and Technical standards, MiFID - Investor Protection Compliance table PDF
159.96 KB
01/04/2020 ESMA35-43-2126 Technical Advice on the impact of the inducements and costs and charges disclosure requirements under MiFID II MiFID - Investor Protection Technical Advice PDF
464.68 KB
01/04/2020 ESMA70-156-2287 Technical Advice to the European Commission on weekly position reports under MiFID II MiFID - Secondary Markets, Supervisory convergence Technical Advice PDF
231.84 KB
10/03/2020 ESMA35-43-1957 Compliance table- Guidelines on complex debt instruments and structured deposits (ESMA/2015/1787) Guidelines and Technical standards, MiFID - Investor Protection Compliance table PDF
173.19 KB
10/03/2020 ESMA35-43-1968 Compliance table- Guidelines on cross-selling practices (ESMA/2016/574) Guidelines and Technical standards, MiFID - Investor Protection Compliance table PDF
162.94 KB
11/02/2020 ESMA35-43-1076 Compliance table for Guidelines on MiFID II product governance requirements (ESMA35-43-620) Guidelines and Technical standards, MiFID - Investor Protection Compliance table PDF
156.28 KB
04/02/2020 ESMA35-43-2134 ESMA’s Technical Advice to the Commission on the effects of product intervention measures MiFID - Investor Protection Technical Advice PDF
425.6 KB
27/11/2019 ESMA34-32-458 Compliance table- Guidelines on reporting obligations under Articles 3(3)(d) and 24(1),(2) and (4) of the AIFMD Fund Management, Guidelines and Technical standards Compliance table PDF
104.13 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 MiFID - Secondary Markets Compliance table PDF
103.79 KB
20/06/2019 ESMA35-43-1430 Compliance table on Guidelines on MiFID II suitability requirements Guidelines and Technical standards, MiFID - Investor Protection Compliance table PDF
117.21 KB
10/04/2019 JC 2019 26 Joint ESA advice on the need for legislative improvements relating to ICT risk management requirements Innovation and Products, Joint Committee 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 Innovation and Products, Joint Committee Technical Advice PDF
785.49 KB
21/03/2019 ESMA70-145-1345 Compliance table for the Guidelines on transaction reporting, order record keeping and clock synchronization under MiFID II Guidelines and Technical standards, MiFID - Secondary Markets Compliance table PDF
131.72 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 Guidelines and Technical standards, Joint Committee, MiFID - Investor Protection Compliance table PDF
477.73 KB
20/09/2018 ESMA70-156-350 Compliance table- Guidelines on the management body of market operators and DRSPs under MiFID II Guidelines and Technical standards, MiFID - Secondary Markets Compliance table PDF
308.27 KB
04/10/2017 ESMA34-32-316 Compliance table for the Guidelines on sound remuneration policies under the AIFMD (ESMA/2016/579) Fund Management, Guidelines and Technical standards Compliance table PDF
310.68 KB

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