ESMA LIBRARY

The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
81
DOCUMENTS

REFINE YOUR SEARCH

Sections

Type of document

Your filters
MiFID II: Transparency Calculations and DVC X Board of Supervisors X Joint Committee X Technical Advice X Technical Standards X Guidelines & Recommendations X
Reset all filters

Pages

Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
28/10/2021 ESMA35-36-2319 EN Joint EBA and ESMA Guidelines on the assessment of the suitability of members of the management body and key function holders Guidelines and Technical standards, Joint Committee, MiFID - Investor Protection Guidelines & Recommendations PDF
584.29 KB		 bgcsdadeelesetfifrhrhuitltlvmtnlplptroskslsv
25/08/2021 Joint Committee JC 2019 Joint guidelines on cooperation and information exchange for the purpose of Directive (EU) 2015/849 between competent authorities supervising credit and financial institutions Joint Committee Guidelines & Recommendations PDF
1.34 MB
25/08/2021 Joint Committee JC 2016 Joint Guidelines on the prudential assessment of acquisitions and increases of qualifying holdings in the financial sector Joint Committee Guidelines & Recommendations ZIP
7.53 MB
25/08/2021 Joint Committee JC 2016 Joint Guidelines on prudential assessment of acquisitions and increases of qualifying holdings Joint Committee Guidelines & Recommendations PDF
584.04 KB
25/08/2021 Joint Committee JC 2014 Guidelines on Consistency of supervisory practices for FiCos Joint Committee Guidelines & Recommendations ZIP
6.5 MB
25/08/2021 Joint Committee JC 2014 Joint Guidelines on coordination arrangements for financial conglomerates Joint Committee Guidelines & Recommendations PDF
310.5 KB
25/08/2021 Joint Committee JC 2014 Joint Committee Final Report on guidelines for complaints-handling for the securities (ESMA) and banking (EBA) sectors Joint Committee Guidelines & Recommendations ZIP
3.38 MB
16/12/2019 JC/2019/81 Joint guidelines on cooperation and information exchange for the purpose of Directive (EU) 2015/849 between competent authorities supervising credit and financial institutions Joint Committee Guidelines & Recommendations PDF
1.34 MB
10/04/2019 JC 2019 26 Joint ESA advice on the need for legislative improvements relating to ICT risk management requirements Innovation and Products, Joint Committee Technical Advice PDF
1.34 MB
10/04/2019 JC 2019 25 Joint ESA advice on the costs and benefits of developing a coherent cyber resilience testing framework for significant market participants and infrastructures Innovation and Products, Joint Committee Technical Advice PDF
785.49 KB
21/03/2018 ESMA71-99-598 Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body and key function holders Guidelines and Technical standards, Joint Committee, MiFID - Investor Protection Guidelines & Recommendations ZIP
871.26 KB		 downloaddownloaddownloaddownloaddownloaddownloaddownloaddownloaddownloaddownloaddownloaddownloaddownloaddownloaddownloaddownloaddownloaddownloaddownloaddownloaddownloaddownload
26/09/2017 ESMA71-99-598 Final Report on Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body and key function holders Guidelines and Technical standards, Joint Committee, MiFID - Investor Protection Guidelines & Recommendations PDF
1.48 MB
21/10/2015 JC/2015/061 Joint Draft Guidelines on AML_CFT RFWG Art 17 and 18 Joint Committee Guidelines & Recommendations PDF
630.58 KB
23/12/2014 JC/2014/092 Draft RTS on risk concentration and intra-group financial transactions under Financial Conglomerates Directive Joint Committee Technical Standards PDF
819.76 KB
22/12/2014 JC/GL/2014/01/SV Bilaga I: Mall för kartläggningsprocessen för det finansiella konglomeratet (JC 2014 070 Guidelines and Technical standards, Joint Committee Guidelines & Recommendations XLSX
62.26 KB
22/12/2014 JC/GL/2014/01/SL Priloga I: Predloga za postopek vzporejanja za finančni konglomerat (JC 2014 070 Prilog Guidelines and Technical standards, Joint Committee Guidelines & Recommendations XLSX
82.26 KB
22/12/2014 JC/GL/2014/01/SK Príloha I: Šablóna na proces mapovania finačného konglomerátu (JC 2014 070 príloha) Guidelines and Technical standards, Joint Committee Guidelines & Recommendations XLSX
65.22 KB
22/12/2014 JC/GL/2014/01/RO Anexa I: Formular pentru procesul de mapare aferent conglomeratului financiar (Anexa 2014 070 a Guidelines and Technical standards, Joint Committee Guidelines & Recommendations XLSX
66.2 KB
22/12/2014 JC/GL/2014/01/PT Anexo I: Modelo para o processo de levantamento do conglomerado financeiro (JC 2014 070 Anexo) Guidelines and Technical standards, Joint Committee Guidelines & Recommendations XLSX
68.14 KB
22/12/2014 JC/GL/2014/01/PL Załącznik I: Szablon dla procesu mapowania dla konglomeratu finansowego (załącznik JC 2014 070) Guidelines and Technical standards, Joint Committee Guidelines & Recommendations XLSX
81.46 KB

Pages