ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
22/10/2021 ESMA71-102-173 ESMA Q&As- list of questions currently under development Reference XLSX
128.21 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
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
01/10/2021 ESMA70-156-3921 Public Register for the Trading Obligation for derivatives under MiFIR Reference PDF
172.07 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
30/09/2021 ESMA35-43-2836 response form Response form for the Consultation Paper on Review of the MiFID II framework on best execution reports Reference DOCX
771.39 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
09/09/2021 ESACD 2021 Programme for the joint ESA Consumer Day 2021 , , Reference PDF
159.66 KB
06/08/2021 ESMA70-156-4576 Report to EC on Use of FinTech by CSDs , Report PDF
537.04 KB
02/08/2021 CFA IPI 27/07/2021 Call for advice to the European Securities and Markets Authority (ESMA) regarding certain aspects relating to retail investor protection Reference PDF
178.79 KB
19/07/2021 ESMA35-43-2751 Sanctions and measures imposed under MiFID II in 2020 Report PDF
383.39 KB
15/07/2021 ESMA 32-63-365 List of decisions published from the EECS’s Database of Enforcement Reference PDF
243.01 KB
15/07/2021 ESMA32-63-1192 25th Extract from the EECS’s Database of Enforcement Report PDF
641.78 KB
02/07/2021 ESMA35-36-2319 Annex I Joint ESMA and EBA GL on the assessment of suitability of members of the management body Reference XLSX
70.83 KB
03/06/2021 ESMA32-65-324 Call for interest ESMA ECL Workshop , Reference PDF
39.11 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
26/05/2021 ESMA70-156-4067 (response form) CP Response form- Technical standards for commodity derivatives , Reference DOCX
754.11 KB
25/05/2021 ESMA-50-164-4518 response form Call for evidence on digital finance- response form Reference DOCX
749.6 KB

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