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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
30/11/2021 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
111.92 KB
30/11/2021 2016/572 Compliance table- Guidelines on key concepts of the AIFMD , Compliance table PDF
153.05 KB
24/11/2021 ESMA50-164-5210 Compliance table on Guidelines on outsourcing to cloud service providers , Compliance table PDF
172.51 KB
23/11/2021 ESMA70-156-4754 Compliance table on Guidelines on MiFID II/MiFIR obligations on market data , Compliance table PDF
166.17 KB
23/11/2021 ESMA35-43-2517 Compliance table on Guidelines on certain aspects of the MiFID II compliance function (ESMA35-36-1952) , Compliance table PDF
140.5 KB
11/11/2021 ESMA34-32-898 Compliance table on Guidelines on Article 25 of the AIFMD , Compliance table PDF
179.89 KB
29/10/2021 ESMA35-43-1430 Compliance table on Guidelines on MiFID II suitability requirements , Compliance table PDF
145.3 KB
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 , Compliance table PDF
220.66 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
01/10/2021 ESMA35-43-1215 Compliance table for Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body , , Compliance table PDF
278.69 KB
01/10/2021 ESMA35-43-1957 Compliance table- Guidelines on complex debt instruments and structured deposits (ESMA/2015/1787) , Compliance table PDF
163.99 KB
13/09/2021 ESMA35-43-2183 Compliance table- Guidelines for the assessment of knowledge and competence (ESMA/2015/1886) , Compliance table PDF
160.49 KB
08/09/2021 JC 2021 45 Joint ESA report on Risks and Vulnerabilities in the EU financial system No 2 2021 , Report PDF
642.21 KB
19/07/2021 ESMA35-43-2751 Sanctions and measures imposed under MiFID II in 2020 Report PDF
383.39 KB
15/07/2021 ESMA32-63-1192 25th Extract from the EECS’s Database of Enforcement Report PDF
641.78 KB
17/05/2021 JC 2021 31 JC Report on the implementation and functioning of the Securitisation Regulation , Report PDF
1.03 MB
31/03/2021 JC 2021 27 JOINT ESA REPORT ON RISKS AND VULNERABILITIES IN THE EU FINANCIAL SYSTEM No 1 2021 , Report PDF
641.71 KB
31/03/2021 JC 2021 24 Joint report on the assessment of the application of the Guidelines on complaints-handling Report PDF
725.04 KB
30/03/2021 ESMA32-67-716 Report on IFRS 10-11-12 , , Report PDF
480.12 KB
08/03/2021 ESMA70-151-2537 Compliance table Guidelines Conflict of interest , Compliance table PDF
141.4 KB

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