ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
10/02/2021 ESMA34-45-1128 Compliance table- Guidelines on performance fees in UCITS and certain types of AIFs , , Compliance table PDF
222.38 KB
13/01/2021 ESMA50-164-4045 Guidelines on the reporting to Competent Authorities under Article 37 of the MMF Regulation Compliance table PDF
145.06 KB
18/12/2020 ESMA34-49-186 Confirmation of compliance with Guidelines- MMF Stress test guidelines , Compliance table PDF
136.41 KB
01/12/2020 ESMA32-67-142 Compliance table on ESMA Guidelines on the enforcement of financial information , Compliance table PDF
150.56 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
104.24 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
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 , , Compliance table PDF
293.08 KB
04/10/2017 ESMA34-32-316 Compliance table for the Guidelines sound remuneration policies under the AIFMD (ESMA/2016/579) , Compliance table PDF
144.26 KB
04/10/2017 ESMA34-43-352 Compliance table for the Guidelines on sound remuneration policies under the UCITS Directive , Compliance table PDF
154.54 KB
24/04/2017 ESMA 32-67-184 Compliance table- guidelines on APMs ESMA 2015-1415 , Compliance table PDF
112.42 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
12/04/2016 2016/602 Compliance table- Guidelines on ETFs and other UCITS issues , Compliance table PDF
131.17 KB
07/04/2016 2016/572 Compliance table- Guidelines on key concepts of the AIFMD , Compliance table PDF
156.43 KB
22/12/2015 JC/2015/087 Compliance Table GL financial conglomerates , Compliance table PDF
291.93 KB
18/09/2015 2015/1409 Draft Implementing Technical Standards on penalties and measures under Directive 2009/65/EC (UCITS Directive) Technical Standards PDF
339.52 KB
01/07/2015 2015/1014 Draft RTS on prospectus related issues under the Omnibus II Directive Technical Standards PDF
949.89 KB
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 , Compliance table PDF
186.54 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.

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
29/09/2014 2014/1187 Draft Regulatory Technical Standards on major shareholdings and an indicative list of financial instruments subject to notification requirements under the revised Transparency Directive , Technical Standards PDF
810.07 KB
The European Securities and Markets Authority (ESMA) has published its draft Regulatory Technical Standards (RTS) under the revised Transparency Directive relating to the notification of major shareholdings.
20/02/2014 2014/161 Draft implementing technical standards on notification- EuSEF Technical Standards PDF
29.18 KB