ESMA LIBRARY

The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
17
DOCUMENTS

REFINE YOUR SEARCH

Sections

Type of document

Your filters
Securities Financing Transactions X Prospectus X CESR Archive X Transparency X Corporate Governance X MiFID - Investor Protection X Compliance table X Technical Standards X
Reset all filters
Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
04/02/2022 ESMA32-67-802 Compliance table on the Guidelines on the enforcement of financial information Guidelines and Technical standards, Transparency Compliance table PDF
135.55 KB
01/02/2022 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
161.56 KB
01/02/2022 ESMA35-43-1968 Compliance table- Guidelines on cross-selling practices (ESMA/2016/574) Guidelines and Technical standards, MiFID - Investor Protection Compliance table PDF
159.78 KB
19/01/2022 ESMA35-43-2517 Compliance table on Guidelines on certain aspects of the MiFID II compliance function (ESMA35-36-1952) Guidelines and Technical standards, MiFID - Investor Protection Compliance table PDF
140.42 KB
17/12/2021 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
302.18 KB
29/10/2021 ESMA35-43-1430 Compliance table on Guidelines on MiFID II suitability requirements Guidelines and Technical standards, MiFID - Investor Protection Compliance table PDF
145.3 KB
01/10/2021 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
163.99 KB
08/07/2021 ESMA32-382-1157 Compliance table on disclosure requirements under the Prospectus Regulation Prospectus Compliance table PDF
124.29 KB
01/07/2021 ESMA31-62-1409 Compliance table GLs on Risk factors Prospectus Compliance table PDF
131.48 KB
11/02/2020 ESMA35-43-1076 Compliance table for Guidelines on MiFID II product governance requirements (ESMA35-43-620) Guidelines and Technical standards, MiFID - Investor Protection Compliance table PDF
157.54 KB
25/09/2015 2015/1460 ESMA Final Report on DRAFT RTS on EEAP Transparency Technical Standards PDF
1.62 MB
30/06/2015 2015/1006 Final Report on MiFID II-MiFIR draft technical standards on authorisation, passporting, registration of third country firms and cooperation between competent authorities MiFID - Investor Protection Technical Standards PDF
357.16 KB
07/10/2014 2014-1213 Guidelines compliance table for Guidelines on remuneration policies and practices (MiFID) MiFID - Investor Protection Compliance table PDF
122.41 KB
29/09/2014 2014/1187 Draft Regulatory Technical Standards on major shareholdings and an indicative list of financial instruments subject to notification requirements under the revised Transparency Directive Corporate Disclosure, Transparency Technical Standards PDF
810.07 KB		 The European Securities and Markets Authority (ESMA) has published its draft Regulatory Technical Standards (RTS) under the revised Transparency Directive relating to the notification of major shareholdings.
24/04/2014 2013/923 Compliance table- compliance guidelines Guidelines and Technical standards, MiFID - Investor Protection Compliance table PDF
100.87 KB
24/04/2014 2013/922 Compliance table- suitability guidelines MiFID - Investor Protection, Guidelines and Technical standards Compliance table PDF
74.33 KB
20/12/2013 2013/1970 Draft Regulatory Technical Standards on specific situations that require the publication of a supplement to the prospectus Prospectus, Corporate Disclosure Technical Standards PDF
713.74 KB		 The Final Report contains the draft Regulatory Technical Standard (RTS) on situations which require the publication of a supplement to the prospectus which ESMA is required to submit to the European Commission by 1 January 2014 in accordance with Article 16(3) of the Prospectus Directive. The Report furthermore includes a summary of the main responses received to ESMA’s Consultation Paper which was published in March 2013. The draft RTS sets out nine situations which are always considered to be significant in the context of securities issuance and where a supplement to the prospectus will always be required. Other situations would require a case-by-case assessment.