ESMA LIBRARY
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Reset all filters| 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 | Guidelines and Technical standards, Joint Committee | 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. | |||
| 01/07/2015 | 2015/1005 | Questions and Answers: Investment-based crowdfunding: money laundering/terrorist financing | Innovation and Products | Q&A | PDF 157.73 KB |
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| 22/12/2015 | JC/2015/087 | Compliance Table GL financial conglomerates | Guidelines and Technical standards, Joint Committee | Compliance table | PDF 242.92 KB |
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| 16/02/2016 | 2016/273 | Comply or explain table for G&R on CCP college | Guidelines and Technical standards, Post Trading | Compliance table | PDF 129.84 KB |
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| 16/02/2016 | 2016/274 | Comply or explain table for G&R on IO arrangements | Guidelines and Technical standards, Post Trading | Compliance table | PDF 121.43 KB |
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| 16/02/2016 | 2016/275 | Comply or explain table for G&R on PFMIs | Guidelines and Technical standards, Post Trading | Compliance table | PDF 121.97 KB |
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| 01/04/2016 | 2016/419 | Q&A Market Abuse Directive | Market Abuse | Q&A | PDF 175.08 KB |
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| 29/04/2016 | 2016/665 | Q&A on ESMA’s EU-wide stress tests for CCPs | Post Trading | Q&A | PDF 269.98 KB |
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| 19/12/2016 | 2016/JCESA QA | Questions and Answers on Big Data | Joint Committee | Q&A | PDF 333.65 KB |
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| 14/12/2017 | ESMA70-151-957 | MiFID II Q&A on post-trading issues | MiFID - Secondary Markets, Post Trading | Q&A | PDF 280.02 KB |
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| 02/02/2018 | ESMA70-151-1179 | Questions and Answers ESMA CCP Stress Test | Post Trading | Q&A | PDF 694.47 KB |
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| 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) | Post Trading | Compliance table | PDF 302.31 KB |
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| 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) | Post Trading | Compliance table | PDF 304.43 KB |
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| 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) | Post Trading | Compliance table | PDF 315.6 KB |
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| 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 | Guidelines and Technical standards, Joint Committee, MiFID - Investor Protection | Compliance table | PDF 477.73 KB |
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| 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 | Guidelines and Technical standards, Market Abuse, Market Integrity | Compliance table | PDF 267.86 KB |
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| 04/02/2019 | ESMA70-145-67 | Compliance table regarding MAR guidelines on delay in the disclosure of inside information | Guidelines and Technical standards, Market Abuse | Compliance table | PDF 284.61 KB |
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| 29/03/2019 | ESMA70-145-111 | Q&A on the Market Abuse Regulation | Market Abuse, Market Integrity | Q&A | PDF 400.21 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. |
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| 11/04/2019 | ESMA31-62-780 | Q&A on Prospectus Related Topics | Brexit, Corporate Disclosure, Corporate Finance, Corporate Governance, Corporate Information, Prospectus, Supervisory convergence | Q&A | PDF 957.9 KB |
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| 11/12/2019 | ESMA70-145-114 | Q&A on the Benchmarks Regulation (BMR) | Benchmarks, Supervisory convergence | Q&A | PDF 500.44 KB |