ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
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
302.31 KB
11/02/2020 ESMA35-43-1076 Compliance table for Guidelines on MiFID II product governance requirements (ESMA35-43-620) , Compliance table PDF
156.28 KB
11/03/2020 ESMA70-156-1434 Compliance table for Guidelines on non-significant benchmarks (ESMA70-145-1209) , Compliance table PDF
127.63 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
280.37 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.
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
477.73 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
315.6 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
304.43 KB
22/12/2015 JC/2015/087 Compliance Table GL financial conglomerates , Compliance table PDF
242.92 KB
20/06/2019 ESMA35-43-1430 Compliance table on Guidelines on MiFID II suitability requirements , Compliance table PDF
117.21 KB
24/04/2014 2013/923 Compliance table- compliance guidelines , Compliance table PDF
74.45 KB
27/05/2020 ESMA35-43-2183 Compliance table- Guidelines for the assessment of knowledge and competence 2020 , Compliance table PDF
159.96 KB
10/03/2020 ESMA35-43-1957 Compliance table- Guidelines on complex debt instruments and structured deposits (ESMA/2015/1787) , Compliance table PDF
173.19 KB
10/03/2020 ESMA35-43-1968 Compliance table- Guidelines on cross-selling practices (ESMA/2016/574) , Compliance table PDF
162.94 KB
24/04/2014 2013/922 Compliance table- suitability guidelines , Compliance table PDF
74.33 KB
16/02/2016 2016/273 Comply or explain table for G&R on CCP college , Compliance table PDF
129.84 KB
16/02/2016 2016/274 Comply or explain table for G&R on IO arrangements , Compliance table PDF
121.43 KB
16/02/2016 2016/275 Comply or explain table for G&R on PFMIs , Compliance table PDF
121.97 KB
17/06/2019 ESMA-35-43-1970 ESMA opinion under Article 42(3) MiFIR (IT_BO) Opinion PDF
98.33 KB
17/06/2019 ESMA-35-43-1971 ESMA opinion under Article 42(3) MiFIR (IT_CFD) Opinion PDF
98.47 KB
17/07/2019 ESMA35-43-1983 ESMA opinion under Article 43(2) MiFID (CZ_CFD) Opinion PDF
100.16 KB

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