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Pages

Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
20/10/2021 ESMA34-45-1128 Compliance table- Guidelines on performance fees in UCITS and certain types of AIFs , , Compliance table PDF
223.2 KB
18/10/2021 ESMA35-43-2517 Compliance table on Guidelines on certain aspects of the MiFID II compliance function (ESMA35-36-1952) , Compliance table PDF
138.85 KB
18/10/2021 ESMA42-110-3265 Report on the independence of National Competent Authorities Report PDF
458.92 KB
12/10/2021 ESMA34-49-373 Compliance table on Revised Guidelines on stress tests scenarios under Article 28 of the MMF Regulation ESMA 34-49-291 , Compliance table PDF
217.73 KB
01/10/2021 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
278.69 KB
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01/10/2021 ESMA35-43-1957 Compliance table- Guidelines on complex debt instruments and structured deposits (ESMA/2015/1787) , Compliance table PDF
163.99 KB
13/09/2021 ESMA35-43-2183 Compliance table- Guidelines for the assessment of knowledge and competence (ESMA/2015/1886) , Compliance table PDF
160.49 KB
20/07/2021 ESMA32-382-1153 Prospectus activity and sanctions report 2020 Report PDF
458.21 KB
19/07/2021 ESMA35-43-2751 Sanctions and measures imposed under MiFID II in 2020 Report PDF
383.39 KB
08/07/2021 ESMA32-382-1157 Compliance table on disclosure requirements under the Prospectus Regulation Compliance table PDF
124.29 KB
01/07/2021 ESMA31-62-1409 Compliance table GLs on Risk factors Compliance table PDF
131.48 KB
28/05/2021 ESMA81-393-98 Supervisory Briefing on Benchmark administrators’ presence in their Member States of location and outsourcing , Report PDF
200.21 KB
08/03/2021 ESMA70-151-2537 Compliance table Guidelines Conflict of interest , Compliance table PDF
141.4 KB
08/03/2021 ESMA70-151-2536 compliance table Guidelines APC Measures , Compliance table PDF
141.15 KB
02/02/2021 ESMA70-156-2401 Annual Report 2020- Equity Waivers and Deferrals Report PDF
1.09 MB
27/01/2021 ESMA35-43-2507 Report to the EU institutions Article 52 MiFIR Report PDF
354.1 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) Compliance table PDF
145.21 KB
22/12/2020 ESMA70-156-3782 ESMA report on application of AMP 2020 Report PDF
1.38 MB
21/12/2020 ESMA70-156-3537 Annual Report on MAR administrative and criminal sanctions 2020 Report PDF
291.51 KB
18/12/2020 ESMA34-49-186 Confirmation of compliance with Guidelines- MMF Stress test guidelines , Compliance table PDF
136.41 KB

Pages