ESMA LIBRARY

The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
132
DOCUMENTS

REFINE YOUR SEARCH

Sections

Type of document

Your filters
Credit Rating Agencies X CESR Archive X Securities Financing Transactions X Joint Committee X MiFID - Investor Protection X Technical Standards X Compliance table X CESR Document X
Reset all filters

Pages

Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
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 , 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.

24/10/2012 JC/CP/2012/01 Feedback statement ESA feedback statement on the Joint CP on Financial Conglomerates CESR Document PDF
82.95 KB
10/12/2021 JC/2015/087 Compliance Table GL financial conglomerates , Compliance table PDF
300.38 KB
23/12/2014 JC/2014/092 Draft RTS on risk concentration and intra-group financial transactions under Financial Conglomerates Directive Technical Standards PDF
819.76 KB
29/07/2013 JC 2013/01 Final Draft Regulatory Technical Standards Technical Standards PDF
1.17 MB
20/07/2022 ESMA35-43-3327 Compliance table on Guidelines on certain aspects of the MiFID II appropriateness and execution only requirements , Compliance table PDF
322.1 KB
19/07/2022 ESMA35-43-3020 Joint compliance table on ESMA and EBA guidelines on the assessment of the suitability of members of the management body and key function holders , Compliance table PDF
320.25 KB
31/05/2022 ESMA35-43-2517 Compliance table on Guidelines on certain aspects of the MiFID II compliance function (ESMA35-36-1952) , Compliance table PDF
141.13 KB
01/02/2022 ESMA35-43-2183 Compliance table- Guidelines for the assessment of knowledge and competence (ESMA/2015/1886) , Compliance table PDF
161.56 KB
01/02/2022 ESMA35-43-1968 Compliance table- Guidelines on cross-selling practices (ESMA/2016/574) , Compliance table PDF
159.78 KB
01/10/2021 ESMA35-43-1957 Compliance table- Guidelines on complex debt instruments and structured deposits (ESMA/2015/1787) , Compliance table PDF
163.99 KB
29/10/2021 ESMA35-43-1430 Compliance table on Guidelines on MiFID II suitability requirements , Compliance table PDF
145.3 KB
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 , , Compliance table PDF
302.18 KB
11/02/2020 ESMA35-43-1076 Compliance table for Guidelines on MiFID II product governance requirements (ESMA35-43-620) , Compliance table PDF
157.54 KB
20/12/2010 CESR/10-1321 CESR’s template for the Key Investor Information document CESR Document PDF
108.44 KB
28/06/2005 CESR-CFTC Feedback Feedback Statement on the Proposed Work Program to Facilitate Trans-Atlantic Derivatives Business CESR Document PDF
70.23 KB
30/04/2008 3L3 IA guidelines Impact assessment guidelines for EU Lamfalussy level 3 committees CESR Document PDF
629.67 KB
30/04/2008 3L3 IA FS Feedback statement- Impact assessment guidelines for EU Lamfalussy level 3 Committees CESR Document PDF
170.64 KB
24/09/2008 3L3 19/09 M&A Guidelines for the prudential assessment of Mergers and Acquisitions- slides presented at the open hearing on 19 September 2008 CESR Document PDF
237.02 KB
30/06/2015 2015/1006 Final Report on MiFID II-MiFIR draft technical standards on authorisation, passporting, registration of third country firms and cooperation between competent authorities Technical Standards PDF
357.16 KB

Pages