ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
01/07/2015 2015/1005 Questions and Answers: Investment-based crowdfunding: money laundering/terrorist financing Q&A PDF
157.73 KB
19/12/2016 2016/JCESA QA Questions and Answers on Big Data Q&A PDF
333.65 KB
11/04/2019 ESMA31-62-780 Q&A on Prospectus Related Topics , , , , , , Q&A PDF
957.9 KB
11/04/2019 ESMA31-67-127 Question and answers on Transparency Directive (TD) , , , , Q&A PDF
352.79 KB
28/05/2020 ESMA33-128-563 Questions and answers on the Securitisation Regulation Q&A PDF
1.18 MB
04/12/2019 ESMA34-32-352 Q&A on the Application of the AIFMD , Q&A PDF
500.53 KB
10/02/2021 ESMA34-45-1128 Compliance table- Guidelines on performance fees in UCITS and certain types of AIFs , , Compliance table PDF
222.38 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
22/12/2020 ESMA35-43-349 Q&As on MiFID II and MiFIR investor protection topics , Q&A PDF
651.6 KB
11/12/2019 ESMA70-145-114 Q&A on the Benchmarks Regulation (BMR) , Q&A PDF
500.44 KB
08/07/2020 ESMA70-1861941480-56 Q&A on MiFIR data reporting , Q&A PDF
1.03 MB
17/02/2020 ESMA70-708036281-2 Questions and Answers on CSDR , Q&A PDF
575.59 KB
03/11/2020 ESMA71-99-1423 QA Fast Track Peer Review- Wirecard , , Q&A PDF
248.14 KB
29/07/2013 JC 2013/01 Final Draft Regulatory Technical Standards Technical Standards PDF
1.17 MB
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
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.