ESMA LIBRARY
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MiFID - Investor Protection X MiFID - Secondary Markets X Securities and Markets Stakeholder Group X Speeches X Fund Management X Compliance table X Vacancy X
Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 17/07/2018 | ESMA70-154-651 | Application form- SMSC CWG Renewal 2018 | MiFID - Secondary Markets | Vacancy | DOCX 37.81 KB |
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| 17/07/2018 | ESMA70-154-652 | Call for expressions of interest- SMSC CWG Renewal | MiFID - Secondary Markets | Vacancy | PDF 263.08 KB |
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| 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 157.54 KB |
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| 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 293.08 KB |
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| 04/10/2017 | ESMA34-43-352 | Compliance table for the Guidelines on sound remuneration policies under the UCITS Directive | Fund Management, Guidelines and Technical standards | Compliance table | PDF 154.54 KB |
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| 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 145.21 KB |
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| 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 112.12 KB |
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| 04/10/2017 | ESMA34-32-316 | Compliance table for the Guidelines sound remuneration policies under the AIFMD (ESMA/2016/579) | Fund Management, Guidelines and Technical standards | Compliance table | PDF 144.26 KB |
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| 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 145.71 KB |
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| 24/04/2014 | 2013/923 | Compliance table- compliance guidelines | Guidelines and Technical standards, MiFID - Investor Protection | Compliance table | PDF 100.87 KB |
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| 27/05/2020 | ESMA35-43-2183 | Compliance table- Guidelines for the assessment of knowledge and competence (ESMA/2015/1886) | Guidelines and Technical standards, MiFID - Investor Protection | Compliance table | PDF 161.38 KB |
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| 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 166.08 KB |
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| 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 159.52 KB |
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| 12/04/2016 | 2016/602 | Compliance table- Guidelines on ETFs and other UCITS issues | Fund Management, Guidelines and Technical standards | Compliance table | PDF 131.17 KB |
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| 07/04/2016 | 2016/572 | Compliance table- Guidelines on key concepts of the AIFMD | Fund Management, Guidelines and Technical standards | Compliance table | PDF 156.43 KB |
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| 10/02/2021 | ESMA34-45-1128 | Compliance table- Guidelines on performance fees in UCITS and certain types of AIFs | Fund Management, Guidelines and Technical standards, Supervisory convergence | Compliance table | PDF 222.38 KB |
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| 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 110.09 KB |
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| 04/05/2016 | 2016/675 | Compliance table- Guidelines on sound remuneration policies under the AIFMD (ESMA/2013/232) | Fund Management, Guidelines and Technical standards | Compliance table | PDF 143.93 KB |
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| 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 145.2 KB |
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| 24/04/2014 | 2013/922 | Compliance table- suitability guidelines | MiFID - Investor Protection, Guidelines and Technical standards | Compliance table | PDF 74.33 KB |