ESMA LIBRARY
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MiFID - Investor Protection X Credit Rating Agencies X Risk Analysis & Economics - Markets Infrastructure Investors X European Single Electronic Format X Corporate Disclosure X Post Trading X Compliance table X
Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 24/04/2014 | 2013/922 | Compliance table- suitability guidelines | MiFID - Investor Protection, Guidelines and Technical standards | Compliance table | PDF 74.33 KB |
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| 24/04/2014 | 2013/923 | Compliance table- compliance guidelines | MiFID - Investor Protection, Guidelines and Technical standards | Compliance table | PDF 74.45 KB |
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| 07/10/2014 | 2014-1213 | Guidelines compliance table for Guidelines on remuneration policies and practices (MiFID) | MiFID - Investor Protection | Compliance table | PDF 127.73 KB |
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| 16/02/2016 | 2016/273 | Comply or explain table for G&R on CCP college | Guidelines and Technical standards, Post Trading | Compliance table | PDF 129.84 KB |
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| 16/02/2016 | 2016/274 | Comply or explain table for G&R on IO arrangements | Guidelines and Technical standards, Post Trading | Compliance table | PDF 121.43 KB |
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| 16/02/2016 | 2016/275 | Comply or explain table for G&R on PFMIs | Guidelines and Technical standards, Post Trading | Compliance table | PDF 121.97 KB |
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| 24/04/2017 | ESMA 32-67-184 | Compliance table- guidelines on APMs ESMA 2015-1415 | Corporate Disclosure, Guidelines and Technical standards | Compliance table | PDF 137.2 KB |
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| 01/12/2020 | ESMA32-67-142 | Compliance table on ESMA Guidelines on the enforcement of financial information | Corporate Disclosure, IFRS Supervisory Convergence | Compliance table | PDF 159.14 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 156.28 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 477.73 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 117.21 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 173.19 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 162.94 KB |
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| 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 |
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| 23/10/2018 | ESMA70-151-1417 | Compliance table for ESMA's Guidelines on the cooperation between authorities under Articles 17 and 23 of CSDR (ESMA70-151-435) | Post Trading | Compliance table | PDF 302.31 KB |
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| 23/10/2018 | ESMA70-151-727 | Compliance table for the Guidelines on CSD Access to the trading feeds of CCPs and trading venues (ESMA70-151-298) | Post Trading | Compliance table | PDF 315.6 KB |
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| 23/10/2018 | ESMA70-151-732 | Compliance table for the Guidelines on participant default rules and procedures under Regulation (EU) No 909/2014 (ESMA70-151-294) | Post Trading | Compliance table | PDF 304.43 KB |