ESMA LIBRARY
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MiFID - Secondary Markets X Careers X Speeches X Board of Supervisors X Board of Appeal X Joint Committee X Q&A X CESR Document X Compliance table X
Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 14/08/2015 | 2015/1261 | Guidelines compliance table- Guidelines on the application of definitions C6 and C7 under MiFID I | MiFID - Secondary Markets | Compliance table | |||||
| 19/12/2016 | 2016/1673 | 2016-1673 Q&A on MiFID II commodity derivatives topics | MiFID - Secondary Markets | Q&A | PDF 338.93 KB |
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| 19/12/2016 | 2016/JCESA QA | Questions and Answers on Big Data | Joint Committee | Q&A | PDF 333.65 KB |
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| 06/11/2018 | 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 477.73 KB |
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| 21/03/2019 | ESMA70-145-1345 | Compliance table for the Guidelines on transaction reporting, order record keeping and clock synchronization under MiFID II | Guidelines and Technical standards, MiFID - Secondary Markets | Compliance table | PDF 131.72 KB |
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| 14/12/2017 | ESMA70-151-957 | MiFID II Q&A on post-trading issues | MiFID - Secondary Markets, Post Trading | Q&A | PDF 280.02 KB |
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| 03/09/2019 | ESMA70-156-1411 | Confirmation of compliance with Guidelines on the application of C6 and C7 of Annex 1 of MIFID II- COMPLIANCE TABLE | MiFID - Secondary Markets | Compliance table | PDF 103.79 KB |
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| 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) | MiFID - Secondary Markets | Compliance table | PDF 129.28 KB |
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| 20/09/2018 | ESMA70-156-350 | Compliance table- Guidelines on the management body of market operators and DRSPs under MiFID II | Guidelines and Technical standards, MiFID - Secondary Markets | Compliance table | PDF 308.27 KB |
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| 08/07/2020 | ESMA70-1861941480-56 | Q&A on MiFIR data reporting | MiFID - Secondary Markets, Supervisory convergence | Q&A | PDF 1.03 MB |
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| 29/05/2020 | ESMA70-872942901-35 | Q&A on MiFID II and MiFIR transparency topics | MiFID - Secondary Markets | Q&A | PDF 1004.2 KB |
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| 27/03/2019 | ESMA70-872942901-36 | Q&A on MiFID II and MiFIR commodity derivatives topics | MiFID - Secondary Markets | Q&A | PDF 602.38 KB |
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| 29/05/2020 | ESMA70-872942901-38 | Q&A on MiFID II and MiFIR market structures topics | MiFID - Secondary Markets | Q&A | PDF 537.51 KB |
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| 22/12/2015 | JC/2015/087 | Compliance Table GL financial conglomerates | Guidelines and Technical standards, Joint Committee | Compliance table | PDF 242.92 KB |
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| 24/10/2012 | JC/CP/2012/01 Feedback statement | ESA feedback statement on the Joint CP on Financial Conglomerates | Joint Committee | CESR Document | PDF 82.95 KB |
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| 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 | Guidelines and Technical standards, Joint Committee | Compliance table | PDF 280.37 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. |