ESMA LIBRARY
The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
52
REFINE YOUR SEARCH
Sections
- (-) Remove Guidelines and Technical standards filter Guidelines and Technical standards
- (-) Remove Securitisation filter Securitisation
- (-) Remove Short Selling filter Short Selling
- (-) Remove Brexit filter Brexit
- (-) Remove Transparency filter Transparency
- Corporate Information (80) Apply Corporate Information filter
- CESR Archive (24) Apply CESR Archive filter
- Fund Management (19) Apply Fund Management filter
- MiFID - Investor Protection (18) Apply MiFID - Investor Protection filter
- MiFID - Secondary Markets (16) Apply MiFID - Secondary Markets filter
- Post Trading (15) Apply Post Trading filter
- Joint Committee (12) Apply Joint Committee filter
- Supervisory convergence (10) Apply Supervisory convergence filter
- Planning reporting budget (9) Apply Planning reporting budget filter
- Credit Rating Agencies (7) Apply Credit Rating Agencies filter
- Market Abuse (7) Apply Market Abuse filter
- Board of Supervisors (6) Apply Board of Supervisors filter
- Corporate Disclosure (6) Apply Corporate Disclosure filter
- Benchmarks (4) Apply Benchmarks filter
- Management Board (4) Apply Management Board filter
- Market Integrity (4) Apply Market Integrity filter
- Prospectus (4) Apply Prospectus filter
- Sustainable finance (4) Apply Sustainable finance filter
- Trade Repositories (4) Apply Trade Repositories filter
- Corporate Finance (3) Apply Corporate Finance filter
- Innovation and Products (2) Apply Innovation and Products filter
- Risk Analysis & Economics - Markets Infrastructure Investors (2) Apply Risk Analysis & Economics - Markets Infrastructure Investors filter
- Securities Financing Transactions (2) Apply Securities Financing Transactions filter
- Corporate Governance (1) Apply Corporate Governance filter
- Crowdfunding (1) Apply Crowdfunding filter
- IFRS Supervisory Convergence (1) Apply IFRS Supervisory Convergence filter
Type of document
- (-) Remove Compliance table filter Compliance table
- (-) Remove Q&A filter Q&A
- (-) Remove Annual Report filter Annual Report
- Guidelines & Recommendations (563) Apply Guidelines & Recommendations filter
- Reference (67) Apply Reference filter
- Opinion (40) Apply Opinion filter
- Statement (38) Apply Statement filter
- Press Release (33) Apply Press Release filter
- Consultation Paper (21) Apply Consultation Paper filter
- Final Report (21) Apply Final Report filter
- Speech (16) Apply Speech filter
- Letter (10) Apply Letter filter
- Decision (7) Apply Decision filter
- Report (7) Apply Report filter
- Technical Advice (3) Apply Technical Advice filter
- Technical Standards (3) Apply Technical Standards filter
- CESR Document (2) Apply CESR Document filter
- SMSG Advice (1) Apply SMSG Advice filter
Your filters
Q&A X Compliance table X Annual Report X Short Selling X Brexit X Transparency X Guidelines and Technical standards X Securitisation 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 |
||||
| 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 |
||||
| 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. |
|||
| 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 |
||||
| 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 |
||||
| 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 |
||||
| 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 |
||||
| 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 |
||||
| 10/12/2021 | JC/2015/087 | Compliance Table GL financial conglomerates | Guidelines and Technical standards, Joint Committee | Compliance table | PDF 300.38 KB |
||||
| 08/03/2021 | ESMA70-151-2536 | compliance table Guidelines APC Measures | Guidelines and Technical standards, Trade Repositories | Compliance table | PDF 141.15 KB |
||||
| 08/03/2021 | ESMA70-151-2537 | Compliance table Guidelines Conflict of interest | Guidelines and Technical standards, Post Trading | Compliance table | PDF 141.4 KB |
||||
| 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 |
||||
| 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 |
||||
| 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 |
||||
| 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 |
||||
| 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 |
||||
| 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 |
||||
| 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 |
||||
| 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 |
||||
| 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 |