ESMA LIBRARY
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MiFID - Secondary Markets X Vacancies X International cooperation X MiFID - Investor Protection X Compliance table X Letter X Report X
Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 02/02/2021 | ESMA70-156-2401 | Annual Report 2020- Equity Waivers and Deferrals | MiFID - Secondary Markets | Report | PDF 1.09 MB |
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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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| 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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| 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 145.21 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 112.12 KB |
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| 19/01/2022 | 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 140.42 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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| 16/05/2022 | ESMA70-156-4754 | Compliance table on Guidelines on MiFID II/MiFIR obligations on market data | Guidelines and Technical standards, MiFID - Secondary Markets | Compliance table | PDF 168.74 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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| 26/01/2022 | 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 142.69 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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| 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 102.75 KB |
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| 06/04/2020 | ESMA 50-165-1098 | ESMA annual statistical report on performance and costs of retail investment products in the EU- 2020 | Fund Management, Innovation and Products, MiFID - Investor Protection | Report | PDF 4.08 MB |
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| 21/09/2018 | ESMA70-156-780 | ESMA Letter on EC proposal to endorse RTS 1 amendments | MiFID - Secondary Markets | Letter | PDF 56.42 KB |
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| 15/02/2022 | ESMA24-436-1152 | ESMA response to the Commission consultation on the Listings Act | Market Abuse, MiFID - Investor Protection, Prospectus | Letter | PDF 99.52 KB |
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| 26/04/2016 | 2016/648 | ESMA response to the Commission Green Paper on retail financial services | MiFID - Investor Protection | Letter | PDF 197.44 KB |
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| 13/04/2018 | ESMA40-133-624 | ESMA's response to WP29 Consultation on Guidelines on Derogations | International cooperation, Supervisory convergence | Letter | PDF 428.49 KB |