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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
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
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.

10/12/2021 JC/2015/087 Compliance Table GL financial conglomerates , Compliance table PDF
300.38 KB
14/05/2019 FISMA.C.3/IK/TL/Ares(2019)2120576 EC Art 38 MAR mandate , Letter PDF
187.62 KB
07/06/2022 ESMA81-393-477 Compliance table on Guidelines on methodology oversight function and record keeping requirements , Compliance table PDF
195.01 KB
19/07/2022 ESMA74-362-893 QAs on SFTR data reporting , , Q&A PDF
405.28 KB
03/11/2020 ESMA71-99-1423 QA Fast Track Peer Review- Wirecard , , Q&A PDF
248.14 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
19/07/2022 ESMA70-1861941480-56 Q&A on MiFIR data reporting , Q&A PDF
1.12 MB
28/02/2022 ESMA70-1861941480-52 Q&A on EMIR implementation , Q&A PDF
1.46 MB
16/05/2022 ESMA70-156-4754 Compliance table on Guidelines on MiFID II/MiFIR obligations on market data , Compliance table PDF
168.74 KB
04/08/2022 ESMA70-156-4448 Q&As- Central Securities Depositories Regulation , Q&A PDF
561.38 KB
23/06/2022 ESMA70-156-350 Compliance table- Guidelines on the management body of market operators and DRSPs under MiFID II , Compliance table PDF
188.98 KB
11/03/2020 ESMA70-156-1434 Compliance table for Guidelines on non-significant benchmarks (ESMA70-145-1209) , Compliance table PDF
129.58 KB
16/02/2016 ESMA70-151-3419 Comply or explain table for G&R on PFMIs , Compliance table PDF
141.61 KB
16/02/2016 ESMA70-151-3418 Comply or explain table for G&R on IO arrangements , Compliance table PDF
141.37 KB
16/02/2016 ESMA70-151-3417 Comply or explain table for G&R on CCP college , Compliance table PDF
141.53 KB
08/03/2021 ESMA70-151-2537 Compliance table Guidelines Conflict of interest , Compliance table PDF
141.4 KB
08/03/2021 ESMA70-151-2536 compliance table Guidelines APC Measures , Compliance table PDF
141.15 KB
05/09/2018 ESMA70-151-1719 Letter to VP Dombrovskis on opinion on SFTR Letter PDF
213.13 KB
05/09/2018 ESMA70-151-1651 Annex 1 Letter from European Commission on SFTR draft RTS Letter PDF
159.5 KB

Pages