ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
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
19/11/2021 ESMA35-43-349 Q&As on MiFID II and MiFIR investor protection topics , Q&A PDF
1023.15 KB
29/10/2021 ESMA35-43-1430 Compliance table on Guidelines on MiFID II suitability requirements , Compliance table PDF
145.3 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
30/09/2021 ESMA74-362-893 QAs on SFTR data reporting , , Q&A PDF
356.79 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
06/08/2021 ESMA70-145-111 Q&A on the Market Abuse Regulation , Q&A PDF
475.69 KB

The purpose of this document is to promote common supervisory approaches and practices in the application of MAR and its implementing measures. It does this by providing responses to questions posed by the general public and competent authorities in relation to the practical application of the MAR framework

The content of this document is aimed at competent authorities to ensure that in their supervisory activities and their actions are converging along the lines of the responses adopted by ESMA and at helping issuers, investors and other market participants by providing clarity on the content of the market abuse rules, rather than creating an extra layer of requirements.

01/12/2020 ESMA32-67-142 Compliance table on ESMA Guidelines on the enforcement of financial information , Compliance table PDF
150.56 KB
09/11/2020 ESMA31-67-127 Question and answers on Transparency Directive (TD) , , , , Q&A PDF
352.79 KB
03/11/2020 ESMA71-99-1423 QA Fast Track Peer Review- Wirecard , , Q&A PDF
248.14 KB
17/04/2020 ESMA32-51-370 Q&A on ESMA Guidelines on Alternative Performance Measures , Q&A PDF
329.01 KB
10/03/2020 ESMA35-43-1968 Compliance table- Guidelines on cross-selling practices (ESMA/2016/574) , Compliance table PDF
159.52 KB
11/02/2020 ESMA35-43-1076 Compliance table for Guidelines on MiFID II product governance requirements (ESMA35-43-620) , Compliance table PDF
157.54 KB
04/12/2019 ESMA70-21038340-46 Compliance table for the Guidelines on market making activities under the Short Selling Regulation , , Compliance table PDF
267.48 KB
11/04/2019 ESMA31-62-780 Q&A on Prospectus Related Topics , , , , , , Q&A PDF
957.9 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 , , Compliance table PDF
179.29 KB
09/11/2018 ESMA35-36-1262 Technical Q&As on product intervention measures on CFDs and binary options Q&A PDF
147.84 KB
24/04/2017 ESMA 32-67-184 Compliance table- guidelines on APMs ESMA 2015-1415 , Compliance table PDF
112.42 KB
31/03/2017 ESMA35-36-794 Q&A Relating to the provision of CFDs and other speculative products to retail investors under MiFID Q&A PDF
948.76 KB