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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
19/12/2016 2016/1673 2016-1673 Q&A on MiFID II commodity derivatives topics MiFID - Secondary Markets Q&A PDF
338.93 KB
28/09/2015 2015-ESMA-1464 Annex II Annex II- CBA- draft RTS and ITS on MiFID II and MiFIR MiFID - Secondary Markets Final Report PDF
5.07 MB
09/03/2016 ESAs/2016/22 Annexes to RTS on Risk Mitigation LegisWrite Joint Committee Final Report PDF
297.23 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
10/06/2013 2013/619 Comparison of liability regimes in Member States in relation to the Prospectus Directive Prospectus, Corporate Disclosure Final Report PDF
596.91 KB		 The European Securities and Markets Authority (ESMA) has published a report on the Comparison of liability regimes in Member States in relation to the Prospectus Directive.   This is the first report of its kind and provides a comparison of liability regimes covering the EEA – comprising the 27 EU Member States along with Iceland and Norway and is aimed at providing clarity for market participants about the different regimes in place. The report contains an overview of the different arrangements and frameworks in place in  EEA States to address administrative, criminal, civil and governmental liability, and provides clarity to market participants about the different regimes in place. The report was compiled in response to a European Commission request of January 2011 for assistance in identifying and monitoring the different regimes in EEA states.   The report does not cover how the regimes, or sanctions, are applied.    Report Comparison of liability regimes in Member States in relation to the Prospectus Directive Annex II Comparative table of responses from EEA States Annex III Individual responses from EEA States
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
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
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.
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
29/06/2022 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
147.64 KB
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
10/12/2021 JC/2015/087 Compliance Table GL financial conglomerates Guidelines and Technical standards, Joint Committee Compliance table PDF
300.38 KB
01/07/2021 ESMA31-62-1409 Compliance table GLs on Risk factors Prospectus Compliance table PDF
131.48 KB
08/07/2021 ESMA32-382-1157 Compliance table on disclosure requirements under the Prospectus Regulation Prospectus Compliance table PDF
124.29 KB
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
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
04/02/2022 ESMA32-67-802 Compliance table on the Guidelines on the enforcement of financial information Guidelines and Technical standards, Transparency Compliance table PDF
135.55 KB
23/06/2022 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
188.98 KB
21/06/2022 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
151.06 KB
26/05/2016 2016/725 Draft RTS on indirect clearing arrangements under EMIR and MiFIR Guidelines and Technical standards, Post Trading, MiFID - Secondary Markets Final Report PDF
740.71 KB

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