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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
27/08/2020 ESMA22-106-2371 SMSG Rules of Procedure 2020 Decision PDF
166.57 KB
13/11/2020 ESMA34-32-699 Guidelines compliance table- Guidelines on model MoU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities (ESMA/2013/998) , Compliance table PDF
108.66 KB
29/05/2018 ESMA41-117-1108 Guidelines compliance table for Guidelines on cooperation arrangements and information exchange Compliance table PDF
106.76 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
28/01/2015 2014/SMSG/002 Decision- Rules of procedure of the Securities and Markets Stakeholder Group Decision PDF
131.88 KB
17/05/2011 2011/BS/123 Decision of the Board of Supervisors- Appointment of the Securities and Markets Stakeholder Group , Decision PDF
171.3 KB
14/08/2015 BOA/2015/001 Decision of the Board of Appeal of the European Supervisory Authorities given under Article 60 of Regulation (EU) No 1094/2010 and the Board of Appeal’s Rules of Procedure (BOA 2012 002) , Decision PDF
147.78 KB
30/04/2018 BoA 2018-01 Decision in an appeal by A v ESMA , Decision PDF
392.62 KB
02/12/2014 2014/BOA/05 Decision by the ESA BoA concerning Investor Protection Europe sprl , Decision PDF
229.85 KB
The Joint Board of Appeal of the ESAs decides on the inadmissibility of an appeal brought by IPE sprl, a company based in Brussels, against a decision by ESMAThe Joint Board of Appeal of the European Supervisory Authorities published today its decision in an appeal brought by Investor Protection Europe (IPE) sprl, a company based in Brussels, against a decision of the European Securities and Markets Authority (ESMA) of 10 June 2014 not to initiate an investigation under Article 17 of the ESMA Regulation regarding an alleged breach of Union law by the Commission de Surveillance du Secteur Financier of Luxembourg.  The Board of Appeal unanimously decided that the appeal was inadmissible, and in the light of that decision, did not consider the substance of IPE’s complaint.
18/12/2020 ESMA34-49-186 Confirmation of compliance with Guidelines- MMF Stress test guidelines , Compliance table PDF
136.41 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
24/04/2014 2013/922 Compliance table- suitability guidelines , Compliance table PDF
74.33 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
179.29 KB
20/09/2018 ESMA70-156-350 Compliance table- Guidelines on the management body of market operators and DRSPs under MiFID II , Compliance table PDF
145.2 KB
04/05/2016 2016/675 Compliance table- Guidelines on sound remuneration policies under the AIFMD (ESMA/2013/232) , Compliance table PDF
143.93 KB
27/11/2019 ESMA34-32-458 Compliance table- Guidelines on reporting obligations under Articles 3(3)(d) and 24(1),(2) and (4) of the AIFMD , Compliance table PDF
110.09 KB
20/10/2021 ESMA34-45-1128 Compliance table- Guidelines on performance fees in UCITS and certain types of AIFs , , Compliance table PDF
223.2 KB