ESMA LIBRARY
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Corporate Information X IAS Regulation X MiFID II: Transparency Calculations and DVC X Benchmarks X MiFID - Investor Protection X Q&A X Technical Advice X Opinion X Compliance table X
Reset all filtersDate | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
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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 157.54 KB |
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11/03/2020 | ESMA70-156-1434 | Compliance table for Guidelines on non-significant benchmarks (ESMA70-145-1209) | Benchmarks, Guidelines and Technical standards | Compliance table | PDF 129.58 KB |
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17/12/2021 | 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 302.18 KB |
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20/07/2022 | ESMA35-43-3327 | Compliance table on Guidelines on certain aspects of the MiFID II appropriateness and execution only requirements | Guidelines and Technical standards, MiFID - Investor Protection | Compliance table | PDF 322.1 KB |
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31/05/2022 | ESMA35-43-2517 | Compliance table on Guidelines on certain aspects of the MiFID II compliance function (ESMA35-36-1952) | Guidelines and Technical standards, MiFID - Investor Protection | Compliance table | PDF 141.13 KB |
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07/06/2022 | ESMA81-393-477 | Compliance table on Guidelines on methodology oversight function and record keeping requirements | Benchmarks, Guidelines and Technical standards | Compliance table | PDF 195.01 KB |
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29/10/2021 | ESMA35-43-1430 | Compliance table on Guidelines on MiFID II suitability requirements | Guidelines and Technical standards, MiFID - Investor Protection | Compliance table | PDF 145.3 KB |
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24/04/2014 | 2013/923 | Compliance table- compliance guidelines | Guidelines and Technical standards, MiFID - Investor Protection | Compliance table | PDF 100.87 KB |
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01/02/2022 | ESMA35-43-2183 | Compliance table- Guidelines for the assessment of knowledge and competence (ESMA/2015/1886) | Guidelines and Technical standards, MiFID - Investor Protection | Compliance table | PDF 161.56 KB |
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01/10/2021 | 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 163.99 KB |
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01/02/2022 | ESMA35-43-1968 | Compliance table- Guidelines on cross-selling practices (ESMA/2016/574) | Guidelines and Technical standards, MiFID - Investor Protection | Compliance table | PDF 159.78 KB |
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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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28/07/2020 | ESMA22-105-1208 | ESMA Opinion on 2018 Discharge Report of EP | Corporate Information | Opinion | PDF 92.69 KB |
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27/05/2021 | ESMA22-105-1363 | ESMA OPINION ON 2019 DISCHARGE REPORT OF EP | Board of Supervisors, Corporate Information | Opinion | PDF 87.37 KB |
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25/07/2022 | ESMA24-436-1333 | ESMA Opinion on 2020 Discharge Report | Board of Supervisors, Corporate Information | Opinion | PDF 103.55 KB |
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08/06/2021 | ESMA35-43-2524 | ESMA Opinion on the product intervention measures relating to turbos proposed by the Dutch AFM | MiFID - Investor Protection | Opinion | PDF 267.28 KB |
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17/06/2019 | ESMA-35-43-1970 | ESMA opinion under Article 42(3) MiFIR (IT_BO) | MiFID - Investor Protection | Opinion | PDF 98.33 KB |
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17/06/2019 | ESMA-35-43-1971 | ESMA opinion under Article 42(3) MiFIR (IT_CFD) | MiFID - Investor Protection | Opinion | PDF 98.47 KB |
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17/07/2019 | ESMA35-43-1983 | ESMA opinion under Article 43(2) MiFID (CZ_CFD) | MiFID - Investor Protection | Opinion | PDF 100.16 KB |
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02/04/2019 | ESMA-35-43-1776 | ESMA opinion under Article 43(2) MiFIR (AFM_BO) | MiFID - Investor Protection | Opinion | PDF 97.69 KB |