ESMA LIBRARY
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Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 13/11/2020 | ESMA34-32-699 | Guidelines compliance table- Guidelines on model MoU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities (ESMA/2013/998) | Fund Management, Guidelines and Technical standards | Compliance table | PDF 104.24 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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| 18/12/2020 | ESMA34-49-186 | Confirmation of compliance with Guidelines- MMF Stress test guidelines | Fund Management, Guidelines and Technical standards | Compliance table | PDF 136.41 KB |
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| 16/02/2016 | ESMA70-151-3419 | Comply or explain table for G&R on PFMIs | Guidelines and Technical standards, Post Trading | Compliance table | PDF 141.61 KB |
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| 16/02/2016 | ESMA70-151-3418 | Comply or explain table for G&R on IO arrangements | Guidelines and Technical standards, Post Trading | Compliance table | PDF 141.37 KB |
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| 16/02/2016 | ESMA70-151-3417 | Comply or explain table for G&R on CCP college | Guidelines and Technical standards, Post Trading | Compliance table | PDF 141.53 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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| 04/02/2019 | ESMA70-145-153 | Compliance table- MAR Guidelines on information relating to commodity derivatives markets or related spot markets for the purpose of the definition of inside information on commodity derivatives | Guidelines and Technical standards, Market Abuse, Market Integrity | Compliance table | PDF 179.29 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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| 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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| 27/11/2019 | ESMA34-32-458 | Compliance table- Guidelines on reporting obligations under Articles 3(3)(d) and 24(1),(2) and (4) of the AIFMD | Fund Management, Guidelines and Technical standards | Compliance table | PDF 110.09 KB |
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| 10/02/2021 | ESMA34-45-1128 | Compliance table- Guidelines on performance fees in UCITS and certain types of AIFs | Fund Management, Guidelines and Technical standards, Supervisory convergence | Compliance table | PDF 222.38 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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| 10/03/2020 | ESMA35-43-1968 | Compliance table- Guidelines on cross-selling practices (ESMA/2016/574) | Guidelines and Technical standards, MiFID - Investor Protection | Compliance table | PDF 159.52 KB |
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| 10/03/2020 | 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 166.08 KB |
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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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| 27/05/2020 | 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 161.38 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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| 04/02/2019 | ESMA70-145-67 | Compliance table regarding MAR guidelines on delay in the disclosure of inside information | Guidelines and Technical standards, Market Abuse | Compliance table | PDF 177.87 KB |