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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
08/01/2021 ESMA70-156-177 Compliance table for the Guidelines on the calibration of circuit breakers and publication of trading halts under MiFID II (ESMA70-872942901-63) MiFID - Secondary Markets Compliance table PDF
129.28 KB
18/12/2020 ESMA34-49-186 Confirmation of compliance with Guidelines- MMF Stress test guidelines Fund Management, Guidelines and Technical standards Compliance table PDF
136.41 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) Fund Management, Guidelines and Technical standards Compliance table PDF
113.46 KB
27/05/2020 ESMA35-43-2183 Compliance table- Guidelines for the assessment of knowledge and competence 2020 Guidelines and Technical standards, MiFID - Investor Protection Compliance table PDF
159.96 KB
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
127.63 KB
10/03/2020 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
173.19 KB
10/03/2020 ESMA35-43-1968 Compliance table- Guidelines on cross-selling practices (ESMA/2016/574) Guidelines and Technical standards, MiFID - Investor Protection Compliance table PDF
162.94 KB
13/02/2020 ESMA70-145-66 Compliance table regarding MAR guidelines for persons receiving market soundings Guidelines and Technical standards, Market Abuse Compliance table PDF
145.56 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
156.28 KB
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
273.01 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 Fund Management, Guidelines and Technical standards Compliance table PDF
104.13 KB
03/09/2019 ESMA70-156-1411 Confirmation of compliance with Guidelines on the application of C6 and C7 of Annex 1 of MIFID II- COMPLIANCE TABLE MiFID - Secondary Markets Compliance table PDF
103.79 KB
20/06/2019 ESMA35-43-1430 Compliance table on Guidelines on MiFID II suitability requirements Guidelines and Technical standards, MiFID - Investor Protection Compliance table PDF
117.21 KB
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
131.72 KB
04/02/2019 ESMA70-145-67 Compliance table regarding MAR guidelines on delay in the disclosure of inside information Guidelines and Technical standards, Market Abuse Compliance table PDF
284.61 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 Guidelines and Technical standards, Market Abuse, Market Integrity Compliance table PDF
267.86 KB
06/11/2018 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
477.73 KB
23/10/2018 ESMA70-151-727 Compliance table for the Guidelines on CSD Access to the trading feeds of CCPs and trading venues (ESMA70-151-298) Post Trading Compliance table PDF
315.6 KB
23/10/2018 ESMA70-151-732 Compliance table for the Guidelines on participant default rules and procedures under Regulation (EU) No 909/2014 (ESMA70-151-294) Post Trading Compliance table PDF
304.43 KB
23/10/2018 ESMA70-151-1417 Compliance table for ESMA's Guidelines on the cooperation between authorities under Articles 17 and 23 of CSDR (ESMA70-151-435) Post Trading Compliance table PDF
302.31 KB

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