ESMA LIBRARY
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MiFID II: Transparency Calculations and DVC X Corporate Information X European Single Electronic Format X MiFID - Investor Protection X Guidelines and Technical standards X Trading X Opinion X Vacancy X SMSG Advice X Compliance table X
Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 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 |
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| 11/03/2020 | ESMA70-156-1434 | Compliance table for Guidelines on non-significant benchmarks (ESMA70-145-1209) | Benchmarks, Guidelines and Technical standards | Compliance table | PDF 129.58 KB |
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| 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. |
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| 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 |
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| 04/12/2019 | ESMA70-21038340-46 | Compliance table for the Guidelines on market making activities under the Short Selling Regulation | Guidelines and Technical standards, Market Integrity, Short Selling | Compliance table | PDF 267.48 KB |
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| 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 |
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| 21/03/2019 | ESMA70-145-1345 | Compliance table for the Guidelines on transaction reporting, order record keeping and clock synchronization under MiFID II | Guidelines and Technical standards, MiFID - Secondary Markets | Compliance table | PDF 112.12 KB |
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| 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 |
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| 10/12/2021 | JC/2015/087 | Compliance Table GL financial conglomerates | Guidelines and Technical standards, Joint Committee | Compliance table | PDF 300.38 KB |
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| 08/03/2021 | ESMA70-151-2536 | compliance table Guidelines APC Measures | Guidelines and Technical standards, Trade Repositories | Compliance table | PDF 141.15 KB |
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| 08/03/2021 | ESMA70-151-2537 | Compliance table Guidelines Conflict of interest | Guidelines and Technical standards, Post Trading | Compliance table | PDF 141.4 KB |
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| 23/06/2022 | ESMA34-32-898 | Compliance table on Guidelines on Article 25 of the AIFMD | Fund Management, Guidelines and Technical standards | Compliance table | PDF 199.22 KB |
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| 20/07/2022 | ESMA35-43-3327 | Compliance table on Guidelines on certain aspects of the MiFID II appropriateness and execution only requirements | Guidelines and Technical standards, MiFID - Investor Protection | Compliance table | PDF 322.1 KB |
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| 31/05/2022 | 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 141.13 KB |
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| 20/04/2022 | ESMA34-45-1445 | Compliance table on Guidelines on marketing communications under the Regulation on the cross-border distribution of funds | Fund Management, Guidelines and Technical standards | Compliance table | PDF 192.62 KB |
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| 07/06/2022 | ESMA81-393-477 | Compliance table on Guidelines on methodology oversight function and record keeping requirements | Benchmarks, Guidelines and Technical standards | Compliance table | PDF 195.01 KB |
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| 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 |
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| 16/05/2022 | ESMA70-156-4754 | Compliance table on Guidelines on MiFID II/MiFIR obligations on market data | Guidelines and Technical standards, MiFID - Secondary Markets | Compliance table | PDF 168.74 KB |
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| 28/01/2022 | ESMA50-164-5210 | Compliance table on Guidelines on outsourcing to cloud service providers | Guidelines and Technical standards, Innovation and Products | Compliance table | PDF 172.7 KB |
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| 26/10/2021 | ESMA34-49-373 | Compliance table on Revised Guidelines on stress tests scenarios under Article 28 of the MMF Regulation ESMA 34-49-291 | Fund Management, Guidelines and Technical standards | Compliance table | PDF 220.66 KB |