ESMA LIBRARY
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Guidelines and Technical standards X Prospectus X International cooperation X Securities Financing Transactions X Securities and Markets Stakeholder Group X Transparency X Statement X Compliance table X
Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 23/03/2011 | 2011/36 | Public statement- Framework for third country prospectuses under Article 20 of the Prospectus Directive | Prospectus, Corporate Disclosure | Statement | PDF 317.51 KB |
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| 23/03/2011 | 2011/37 | Public statement- ESMA statement on Israeli laws and regulations on prospectuses | Prospectus, Corporate Disclosure | Statement | PDF 187.46 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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| 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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| 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. |
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| 22/12/2015 | JC/2015/087 | Compliance Table GL financial conglomerates | Guidelines and Technical standards, Joint Committee | Compliance table | PDF 291.93 KB |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 07/03/2017 | ESMA22-106-141 | Joint Statement of the SMSG and the BSG on the Draft Guidelines on the Assessment of the Suitability | Joint Committee, Securities and Markets Stakeholder Group | Statement | PDF 91.5 KB |
Joint Statement of the SMSG and the BSG on the Draft Guidelines on the Assessment of the Suitability of Members of the Management Body and Key Function Holders |
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| 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 |
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| 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 |
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| 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 |
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| 27/04/2018 | ESMA22-103-753 | Multilateral MoU on cooperation, information exchange and consultation | International cooperation, Joint Committee | Statement | PDF 731.24 KB |
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| 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 |
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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 145.2 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 293.08 KB |