ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
16/12/2016 2016/1669 2016-1669 Q&A on AIFMD Q&A PDF
436.68 KB
11/02/2020 ESMA35-43-1076 Compliance table for Guidelines on MiFID II product governance requirements (ESMA35-43-620) , Compliance table PDF
157.54 KB
18/02/2015 JC/GL/2014/43 Appendix 1 Compliance table for JC guidelines for complaints-handling for the securities (ESMA) and banking (EBA) sectors , Compliance table PDF
187.15 KB

The table contains details of the competent authorities* who comply or intend to comply with the ESAs’ Joint Guidelines on complaints-handling for the securities (ESMA) and banking (EBA) sectors.

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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04/10/2017 ESMA34-43-352 Compliance table for the Guidelines on sound remuneration policies under the UCITS Directive , Compliance table PDF
154.54 KB
04/10/2017 ESMA34-32-316 Compliance table for the Guidelines sound remuneration policies under the AIFMD (ESMA/2016/579) , Compliance table PDF
144.26 KB
22/12/2015 JC/2015/087 Compliance Table GL financial conglomerates , Compliance table PDF
291.93 KB
01/12/2020 ESMA32-67-142 Compliance table on ESMA Guidelines on the enforcement of financial information , Compliance table PDF
150.56 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
20/06/2019 ESMA35-43-1430 Compliance table on Guidelines on MiFID II suitability requirements , Compliance table PDF
145.71 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
24/04/2014 2013/923 Compliance table- compliance guidelines , Compliance table PDF
100.87 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
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
10/03/2020 ESMA35-43-1968 Compliance table- Guidelines on cross-selling practices (ESMA/2016/574) , Compliance table PDF
159.52 KB
12/04/2016 2016/602 Compliance table- Guidelines on ETFs and other UCITS issues , Compliance table PDF
131.17 KB
07/04/2016 2016/572 Compliance table- Guidelines on key concepts of the AIFMD , Compliance table PDF
156.43 KB
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
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
110.09 KB
04/05/2016 2016/675 Compliance table- Guidelines on sound remuneration policies under the AIFMD (ESMA/2013/232) , Compliance table PDF
143.93 KB