ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
13/02/2020 ESMA70-145-66 Compliance table regarding MAR guidelines for persons receiving market soundings , Compliance table PDF
145.56 KB
13/02/2020 ESMA70-156-1434 Compliance table for Guidelines on non-significant benchmarks (ESMA70-145-1209) , Compliance table PDF
128 KB
11/02/2020 ESMA35-43-1076 Compliance table for Guidelines on MiFID II product governance requirements (ESMA35-43-620) , Compliance table PDF
156.28 KB
11/02/2020 ESMA35-43-1968 Compliance table- Guidelines on cross-selling practices (ESMA/2016/574) , Compliance table PDF
163.02 KB
31/01/2020 ESMA35-43-2131 Draft technical standards on the provision of investment services and activities in the Union by third-country firms under MiFID II and MiFIR Consultation Paper PDF
1.23 MB
05/12/2019 ESMA33-9-355 Guidelines on Internal Controls for CRAs Consultation Paper PDF
523.56 KB
04/12/2019 ESMA70-21038340-46 Compliance table for the Guidelines on market making activities under the Short Selling Regulation , , Compliance table PDF
273.01 KB
03/12/2019 ESMA34-49-176 Compliance table- Guidelines on stress test scenarios under the MMF Regulation , Compliance table PDF
167.68 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 , Compliance table PDF
104.13 KB
05/11/2019 ESMA70-156-1484 Consultation Paper on Position Limits Consultation Paper PDF
549.2 KB
04/10/2019 ESMA70-156-1555 Alignment of MiFIR with the changes introduced by EMIR Refit , Consultation Paper PDF
270.97 KB
30/09/2019 ESMA-35-43-2090 Call for evidence on MiFID II product intervention powers Consultation Paper PDF
197.51 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
17/07/2019 ESMA35-43-1905 Call for evidence Impact of the inducements and costs and charges disclosure requirements under MiFID II Consultation Paper PDF
479.41 KB
15/07/2019 ESMA35-43-2019 Consultation paper on compliance function guidelines Consultation Paper PDF
677.15 KB
12/07/2019 ESMA70-156-1065 CP_MiFID review report_cost of market data and consolidated tape equity Consultation Paper PDF
697.42 KB
20/06/2019 ESMA35-43-1430 Compliance table on Guidelines on MiFID II suitability requirements , Compliance table PDF
117.21 KB
24/05/2019 ESMA70-156-864 CP amending ITS on main indices and recognised exchanges under CRR Consultation Paper PDF
1.29 MB
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

Pages