ESMA LIBRARY
The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
48
REFINE YOUR SEARCH
Sections
- (-) Remove Guidelines and Technical standards filter Guidelines and Technical standards
- (-) Remove MiFID - Secondary Markets filter MiFID - Secondary Markets
- (-) Remove Credit Rating Agencies filter Credit Rating Agencies
- (-) Remove Risk Analysis & Economics - Markets Infrastructure Investors filter Risk Analysis & Economics - Markets Infrastructure Investors
- (-) Remove IFRS Supervisory Convergence filter IFRS Supervisory Convergence
- Corporate Information (77) Apply Corporate Information filter
- Securities and Markets Stakeholder Group (77) Apply Securities and Markets Stakeholder Group filter
- CESR Archive (17) Apply CESR Archive filter
- MiFID - Investor Protection (11) Apply MiFID - Investor Protection filter
- Fund Management (10) Apply Fund Management filter
- Planning reporting budget (7) Apply Planning reporting budget filter
- Post Trading (7) Apply Post Trading filter
- Joint Committee (6) Apply Joint Committee filter
- Board of Supervisors (4) Apply Board of Supervisors filter
- Market Abuse (4) Apply Market Abuse filter
- Market Integrity (3) Apply Market Integrity filter
- Benchmarks (2) Apply Benchmarks filter
- Corporate Disclosure (2) Apply Corporate Disclosure filter
- Management Board (2) Apply Management Board filter
- Sustainable finance (2) Apply Sustainable finance filter
- Vacancies (2) Apply Vacancies filter
- European Single Electronic Format (1) Apply European Single Electronic Format filter
- Securities Financing Transactions (1) Apply Securities Financing Transactions filter
- Securitisation (1) Apply Securitisation filter
- Short Selling (1) Apply Short Selling filter
- Supervisory convergence (1) Apply Supervisory convergence filter
- Trade Repositories (1) Apply Trade Repositories filter
Type of document
- (-) Remove Compliance table filter Compliance table
- (-) Remove Annual Report filter Annual Report
- (-) Remove Vacancy filter Vacancy
- Guidelines & Recommendations (550) Apply Guidelines & Recommendations filter
- Reference (169) Apply Reference filter
- Press Release (131) Apply Press Release filter
- Final Report (82) Apply Final Report filter
- Opinion (76) Apply Opinion filter
- Report (70) Apply Report filter
- Consultation Paper (62) Apply Consultation Paper filter
- Statement (54) Apply Statement filter
- Letter (39) Apply Letter filter
- Speech (23) Apply Speech filter
- Decision (21) Apply Decision filter
- Technical Advice (12) Apply Technical Advice filter
- Technical Standards (12) Apply Technical Standards filter
- Q&A (8) Apply Q&A filter
Your filters
MiFID - Secondary Markets X Credit Rating Agencies X Risk Analysis & Economics - Markets Infrastructure Investors X IFRS Supervisory Convergence X Guidelines and Technical standards X SMSG Advice X Compliance table X Vacancy X Annual Report X
Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 24/04/2014 | 2013/922 | Compliance table- suitability guidelines | MiFID - Investor Protection, Guidelines and Technical standards | Compliance table | PDF 74.33 KB |
||||
| 24/04/2014 | 2013/923 | Compliance table- compliance guidelines | Guidelines and Technical standards, MiFID - Investor Protection | Compliance table | PDF 100.87 KB |
||||
| 16/02/2015 | 2015/280 | ESMA supervision of Credit Rating Agencies and Trade Repositories | Corporate Information, Credit Rating Agencies, Post Trading | Annual Report | PDF 891.95 KB |
This document reports on the direct supervisory activities carried out by ESMA during 2014 regarding credit rating agencies (CRAs) and trade repositories (TRs) within the European Union (EU). It sets out ESMAs key areas of action during 2014 and outlines ESMA’s main priorities for 2015. | |||
| 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 186.54 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. |
|||
| 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 | |||||
| 22/12/2015 | JC/2015/087 | Compliance Table GL financial conglomerates | Guidelines and Technical standards, Joint Committee | Compliance table | PDF 291.93 KB |
||||
| 16/02/2016 | 2016/273 | Comply or explain table for G&R on CCP college | Guidelines and Technical standards, Post Trading | Compliance table | PDF 129.84 KB |
||||
| 16/02/2016 | 2016/274 | Comply or explain table for G&R on IO arrangements | Guidelines and Technical standards, Post Trading | Compliance table | PDF 121.43 KB |
||||
| 16/02/2016 | 2016/275 | Comply or explain table for G&R on PFMIs | Guidelines and Technical standards, Post Trading | Compliance table | PDF 121.97 KB |
||||
| 07/04/2016 | 2016/572 | Compliance table- Guidelines on key concepts of the AIFMD | Fund Management, Guidelines and Technical standards | Compliance table | PDF 156.43 KB |
||||
| 12/04/2016 | 2016/602 | Compliance table- Guidelines on ETFs and other UCITS issues | Fund Management, Guidelines and Technical standards | Compliance table | PDF 131.17 KB |
||||
| 04/05/2016 | 2016/675 | Compliance table- Guidelines on sound remuneration policies under the AIFMD (ESMA/2013/232) | Fund Management, Guidelines and Technical standards | Compliance table | PDF 143.93 KB |
||||
| 24/04/2017 | ESMA 32-67-184 | Compliance table- guidelines on APMs ESMA 2015-1415 | Corporate Disclosure, Guidelines and Technical standards | Compliance table | PDF 112.42 KB |
||||
| 04/10/2017 | ESMA34-43-352 | Compliance table for the Guidelines on sound remuneration policies under the UCITS Directive | Fund Management, Guidelines and Technical standards | 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) | Fund Management, Guidelines and Technical standards | Compliance table | PDF 144.26 KB |
||||
| 08/02/2018 | ESMA80-199-153 | ESMA’s supervision of credit rating agencies, trade repositories and monitoring of third country central counterparties- 2017 Annual Report and 2018 Work Programme | Credit Rating Agencies | Annual Report | PDF 1.03 MB |
||||
| 29/05/2018 | ESMA41-117-1108 | Guidelines compliance table for Guidelines on cooperation arrangements and information exchange | Guidelines and Technical standards | Compliance table | PDF 106.76 KB |
||||
| 17/07/2018 | ESMA70-154-651 | Application form- SMSC CWG Renewal 2018 | MiFID - Secondary Markets | Vacancy | DOCX 37.81 KB |
||||
| 17/07/2018 | ESMA70-154-652 | Call for expressions of interest- SMSC CWG Renewal | MiFID - Secondary Markets | Vacancy | PDF 263.08 KB |
||||
| 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 145.2 KB |