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ESMA70-151-3418 |
Comply or explain table for G&R on IO arrangements |
Guidelines and Technical standards, Post Trading |
Compliance table |
DOWNLOAD 141.37 KB |
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ESMA70-151-3417 |
Comply or explain table for G&R on CCP college |
Guidelines and Technical standards, Post Trading |
Compliance table |
DOWNLOAD 141.53 KB |
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BOA 2016 001 |
BoA 2016 - 001 (Decision Kluge v EBA) |
Board of Appeal |
Decision |
DOWNLOAD 196.32 KB |
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2015/1261 |
Guidelines compliance table - Guidelines on the application of definitions C6 and C7 under MiFID I |
Trading |
Compliance table |
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BOA/2015/001 |
Decision of the Board of Appeal of the European Supervisory Authorities given under Article 60 of Regulation (EU) No 1094/2010 and the Board of Appeal’s Rules of Procedure (BOA 2012 002) |
Joint Committee, Board of Appeal |
Decision |
DOWNLOAD 147.78 KB |
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2015/1048 |
Public Notice - ESMA fines DBRS Ratings Limited |
Credit Rating Agencies |
Decision |
DOWNLOAD 186.47 KB |
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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 |
DOWNLOAD 187.15 KB |
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2014/SMSG/002 |
Decision - Rules of procedure of the Securities and Markets Stakeholder Group |
Securities and Markets Stakeholder Group |
Decision |
DOWNLOAD 131.88 KB |
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2014/BOA/05 |
Decision by the ESA BoA concerning Investor Protection Europe sprl |
Joint Committee, Board of Appeal |
Decision |
DOWNLOAD 229.85 KB |
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2014-1213 |
Guidelines compliance table for Guidelines on remuneration policies and practices (MiFID) |
Investor protection |
Compliance table |
DOWNLOAD 122.41 KB |
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2014/C1/02 |
Board of Appeal Decision |
Joint Committee, Board of Appeal |
Decision |
DOWNLOAD 368.94 KB |
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2014/MB/39 |
Decision on the Implementing Rules to the Financial Regulation of ESMA |
Management Board |
Decision |
DOWNLOAD 279.01 KB |
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2014/MB/38 |
Decision on the Financial Regulation of ESMA |
Management Board |
Decision |
DOWNLOAD 392.78 KB |
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2014/544 |
Decision to adopt a supervisory measure taking the form of a public notice in accordance with Articles 23e(5) and 24 of Regulation (EC) No 1060/2009 of the European Parliament and of the Council of 16 September 2009 on credit rating agencies |
Credit Rating Agencies |
Decision |
DOWNLOAD 49.36 KB |
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2013/923 |
Compliance table - compliance guidelines |
Guidelines and Technical standards, Investor protection |
Compliance table |
DOWNLOAD 100.87 KB |
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2013/922 |
Compliance table - suitability guidelines |
Investor protection, Guidelines and Technical standards |
Compliance table |
DOWNLOAD 74.33 KB |
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BoA 2013-014 |
Board of Appeal Decision Global Private Rating Company v. ESMA |
Joint Committee, Board of Appeal |
Decision |
DOWNLOAD 361.96 KB |
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BoA 2013-008 |
Board of Appeal Decision |
Joint Committee, Board of Appeal |
Decision |
DOWNLOAD 242.72 KB |
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2011/BS/229 |
Decision of the European Securities and Markets Authority establishing its Review Panel |
Board of Supervisors, About ESMA, Supervisory convergence |
Decision |
DOWNLOAD 35.86 KB |
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2011/MB/69 |
Decision of the Management Board - Access to documents |
Management Board, About ESMA |
Decision |
DOWNLOAD 201.73 KB |
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