ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
13/02/2020 ESMA70-145-66 Compliance table regarding MAR guidelines for persons receiving market soundings , Compliance table PDF
139.07 KB
04/12/2019 ESMA70-21038340-46 Compliance table for the Guidelines on market making activities under the Short Selling Regulation , , Compliance table PDF
267.48 KB
04/02/2019 ESMA70-145-67 Compliance table regarding MAR guidelines on delay in the disclosure of inside information , Compliance table PDF
177.97 KB
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 , , Compliance table PDF
179.39 KB
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 , , Compliance table PDF
293.08 KB
22/12/2015 JC/2015/087 Compliance Table GL financial conglomerates , Compliance table PDF
291.93 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 , 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.

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
21/12/2010 10-1351 Feedback statement- Transaction Reporting on OTC Derivatives and Extension of the Scope of Transaction Reporting Obligations CESR Document PDF
93.89 KB
20/12/2010 10-1318 Guidelines- Selection and presentation of performance scenarios in the Key Investor Information document (KII) for structured UCITS CESR Document PDF
198.56 KB
20/12/2010 10-1319 Guidelines- Transition from the Simplified Prospectus to the Key Investor Information document CESR Document PDF
136.11 KB
20/12/2010 10-1320 CESR’s guide to clear language and layout for the Key Investor Information document CESR Document PDF
161.87 KB
20/12/2010 CESR/10-1321 CESR’s template for the Key Investor Information document CESR Document PDF
108.44 KB
20/12/2010 10-1396 Feedback statement- CESR’s level 3 guidelines on the selection and presentation of performance scenarios in the Key Investor Information document (KII) for structured UCITS CESR Document PDF
124.29 KB
20/12/2010 10-1397 Feedback statement- Guidelines for the transition from the Simplified Prospectus to the Key Investor Information document CESR Document PDF
112.83 KB
20/12/2010 10-1398 Feedback statement- A guide to clear language and layout for the Key Investor Information document (KII) CESR Document PDF
103.3 KB
20/12/2010 10-1399 Feedback statement- CESR’s template for the Key Investor Information document CESR Document PDF
123.79 KB
22/10/2010 10-1045 Feedback Statement- CESR Technical Advice to the European Commission in the context of the MiFID Review – Client categorisation CESR Document PDF
253.56 KB
08/10/2010 10-512 Feedback statement on the consultation on guidance to report transactions on OTC derivative instruments and subsequent CESR decisions CESR Document PDF
911.6 KB
08/10/2010 10-661 Guidance to report transactions on OTC derivative instruments CESR Document PDF
703.48 KB

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