ESMA LIBRARY
The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
63
REFINE YOUR SEARCH
Sections
- (-) Remove Guidelines and Technical standards filter Guidelines and Technical standards
- (-) Remove MiFID - Secondary Markets filter MiFID - Secondary Markets
- (-) Remove CESR Archive filter CESR Archive
- (-) Remove Prospectus filter Prospectus
- (-) Remove Brexit filter Brexit
- (-) Remove Corporate Finance filter Corporate Finance
- (-) Remove Corporate Information filter Corporate Information
- Fund Management (19) Apply Fund Management filter
- MiFID - Investor Protection (14) Apply MiFID - Investor Protection filter
- Post Trading (14) Apply Post Trading filter
- Supervisory convergence (9) Apply Supervisory convergence filter
- Joint Committee (8) Apply Joint Committee filter
- Corporate Disclosure (6) Apply Corporate Disclosure filter
- Market Abuse (5) Apply Market Abuse filter
- Market Integrity (3) Apply Market Integrity filter
- Short Selling (3) Apply Short Selling filter
- Sustainable finance (3) Apply Sustainable finance filter
- Trade Repositories (3) Apply Trade Repositories filter
- Benchmarks (2) Apply Benchmarks filter
- Innovation and Products (2) Apply Innovation and Products filter
- Securitisation (2) Apply Securitisation filter
- Transparency (2) Apply Transparency filter
- Corporate Governance (1) Apply Corporate Governance filter
- Credit Rating Agencies (1) Apply Credit Rating Agencies filter
- Crowdfunding (1) Apply Crowdfunding filter
- IFRS Supervisory Convergence (1) Apply IFRS Supervisory Convergence filter
- Securities Financing Transactions (1) Apply Securities Financing Transactions filter
Type of document
- (-) Remove Compliance table filter Compliance table
- (-) Remove Q&A filter Q&A
- Guidelines & Recommendations (564) Apply Guidelines & Recommendations filter
- Press Release (327) Apply Press Release filter
- Final Report (324) Apply Final Report filter
- Reference (305) Apply Reference filter
- Consultation Paper (230) Apply Consultation Paper filter
- Letter (125) Apply Letter filter
- CESR Document (111) Apply CESR Document filter
- Annual Report (99) Apply Annual Report filter
- Opinion (94) Apply Opinion filter
- Statement (72) Apply Statement filter
- Speech (60) Apply Speech filter
- Decision (28) Apply Decision filter
- Report (26) Apply Report filter
- Technical Standards (8) Apply Technical Standards filter
- CLOSED Procedure (7) Apply CLOSED Procedure filter
- Technical Advice (6) Apply Technical Advice filter
- Vacancy (4) Apply Vacancy filter
- Investor Warning (1) Apply Investor Warning filter
- SMSG Advice (1) Apply SMSG Advice filter
- Summary of Conclusions (1) Apply Summary of Conclusions filter
Your filters
Vacancies X Board of Appeal X Corporate Information X Brexit X Guidelines and Technical standards X CESR Archive X Corporate Finance X MiFID - Secondary Markets X Prospectus X Q&A X Compliance table X
Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 03/06/2005 | 05-365 | MAD AMPs- Frequently Asked Questions | CESR Archive | Q&A | PDF 55.99 KB |
||||
| 29/05/2007 | 07-320 | Q&A on Best Execution | CESR Archive | Q&A | PDF 578.51 KB |
||||
| 03/11/2009 | 09-559 | Questions and Answers- MiFID complex and non complex financial instruments for the purposes of the Directive’s appropriateness requirements | CESR Archive | Q&A | PDF 405.18 KB |
||||
| 08/03/2010 | 10-222 | FAQ regarding the EU Regulation Credit Rating Agencies: Common positions agreed by CESR Members | CESR Archive | Q&A | PDF 327.78 KB |
||||
| 19/04/2010 | 10-293 | Question and Answers- Understanding the definition of advice under MiFID | CESR Archive | Q&A | PDF 335.78 KB |
||||
| 06/05/2010 | 10-591 | Questions and answers on MiFID: Common positions agreed by CESR Members in the area of the Secondary Markets Standing Committee | CESR Archive | Q&A | PDF 130.84 KB |
||||
| 04/06/2010 | 10-521 | FAQ regarding the EU regulation on Credit Rating Agencies: Common positions agreed by CESR Members | CESR Archive | Q&A | PDF 206.24 KB |
||||
| 24/04/2014 | 2013/922 | Compliance table- suitability guidelines | MiFID - Investor Protection, Guidelines and Technical standards | Compliance table | PDF 74.33 KB |
||||
| 24/04/2014 | 2013/923 | Compliance table- compliance guidelines | Guidelines and Technical standards, MiFID - Investor Protection | Compliance table | PDF 100.87 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 | Guidelines and Technical standards, Joint Committee | 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. |
|||
| 14/08/2015 | 2015/1261 | Guidelines compliance table- Guidelines on the application of definitions C6 and C7 under MiFID I | MiFID - Secondary Markets | Compliance table | |||||
| 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 |
||||
| 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 |
||||
| 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 |
||||
| 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 |
||||
| 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 |
||||
| 19/12/2016 | 2016/1673 | 2016-1673 Q&A on MiFID II commodity derivatives topics | MiFID - Secondary Markets | Q&A | PDF 338.93 KB |
||||
| 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 |
||||
| 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 |
||||
| 14/12/2017 | ESMA70-151-957 | MiFID II Q&A on post-trading issues | MiFID - Secondary Markets, Post Trading | Q&A | PDF 280.02 KB |