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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
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
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.

10/12/2021 JC/2015/087 Compliance Table GL financial conglomerates , Compliance table PDF
300.38 KB
19/04/2022 JC 2022 01 Joint Committee Annual Report 2021 Annual Report PDF
217.87 KB
07/04/2021 JC 2021 08 Joint Committee Annual Report 2020 Annual Report PDF
1.01 MB
09/03/2020 ESMA80-199-332 ESMA Supervision- Annual Report 2019 and Work Programme 2020 , , , , Annual Report PDF
825.72 KB
19/02/2019 ESMA80-199-273 ESMA supervision 2019 work plan and annual report 2018 Annual Report PDF
622.46 KB
08/02/2018 ESMA80-199-153 ESMA’s supervision of credit rating agencies, trade repositories and monitoring of third country central counterparties- 2017 Annual Report and 2018 Work Programme Annual Report PDF
1.03 MB
10/01/2019 ESMA71-99-1081 Press release- ESMA report finds investment product performance highly impacted by charges , Annual Report PDF
159.37 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) Compliance table PDF
140.8 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) Compliance table PDF
151.14 KB
16/02/2016 ESMA70-151-3419 Comply or explain table for G&R on PFMIs , Compliance table PDF
141.61 KB
16/02/2016 ESMA70-151-3418 Comply or explain table for G&R on IO arrangements , Compliance table PDF
141.37 KB
16/02/2016 ESMA70-151-3417 Comply or explain table for G&R on CCP college , Compliance table PDF
141.53 KB
08/03/2021 ESMA70-151-2537 Compliance table Guidelines Conflict of interest , Compliance table PDF
141.4 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) Compliance table PDF
141.9 KB
10/01/2019 ESMA50-165-731 ESMA annual statistical report on performance and costs of retail investment products in the EU , Annual Report PDF
3.43 MB
20/07/2022 ESMA35-43-3327 Compliance table on Guidelines on certain aspects of the MiFID II appropriateness and execution only requirements , Compliance table PDF
322.1 KB
19/07/2022 ESMA35-43-3020 Joint compliance table on ESMA and EBA guidelines on the assessment of the suitability of members of the management body and key function holders , Compliance table PDF
320.25 KB
31/05/2022 ESMA35-43-2517 Compliance table on Guidelines on certain aspects of the MiFID II compliance function (ESMA35-36-1952) , Compliance table PDF
141.13 KB
01/02/2022 ESMA35-43-2183 Compliance table- Guidelines for the assessment of knowledge and competence (ESMA/2015/1886) , Compliance table PDF
161.56 KB