ESMA LIBRARY

The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
29
DOCUMENTS

REFINE YOUR SEARCH

Sections

Type of document

Your filters
MiFID - Investor Protection X MiFID II: Transparency Calculations and DVC X Board of Supervisors X Corporate Finance X Transparency X CESR Archive X Joint Committee X Q&A X Compliance table X
Reset all filters
Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
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
22/12/2015 JC/2015/087 Compliance Table GL financial conglomerates , Compliance table PDF
291.93 KB
23/11/2021 ESMA35-43-2517 Compliance table on Guidelines on certain aspects of the MiFID II compliance function (ESMA35-36-1952) , Compliance table PDF
140.5 KB
29/10/2021 ESMA35-43-1430 Compliance table on Guidelines on MiFID II suitability requirements , Compliance table PDF
145.3 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
24/04/2014 2013/922 Compliance table- suitability guidelines , Compliance table PDF
74.33 KB
26/07/2021 SFDR EC Q&A EC Q&A on sustainability-related disclosures , Q&A PDF
601.99 KB
30/11/2021 SFDR EC Q&A CORRECTION EC Q&A on sustainability-related disclosures- correction , Q&A PDF
87.19 KB
08/03/2010 10-222 FAQ regarding the EU Regulation Credit Rating Agencies: Common positions agreed by CESR Members Q&A PDF
327.78 KB
04/06/2010 10-521 FAQ regarding the EU regulation on Credit Rating Agencies: Common positions agreed by CESR Members Q&A PDF
206.24 KB
07/10/2014 2014-1213 Guidelines compliance table for Guidelines on remuneration policies and practices (MiFID) Compliance table PDF
122.41 KB
25/08/2021 Joint Committee JC 2017 Q&A on the PRIIPs Key Information Document Q&A PDF
1.51 MB
03/06/2005 05-365 MAD AMPs- Frequently Asked Questions Q&A PDF
55.99 KB
22/06/2012 2012/382 MiFID Q&A in the area of investor protection and intermediaries Q&A PDF
319.78 KB
29/05/2007 07-320 Q&A on Best Execution Q&A PDF
578.51 KB