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ESMA Library

The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.

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183 documents
Date Reference Title Sections Type Main document Info
2016/602 Compliance table - Guidelines on ETFs and other UCITS issues Fund Management, Guidelines and Technical standards Compliance table DOWNLOAD 139.61 KB
ESMA22-106-196 Advice in response to JC Discussion Paper on the Use of Big Data by Financial Institutions Securities and Markets Stakeholder Group SMSG Advice DOWNLOAD 144.22 KB
2013/SMSG/017 Advice on Consultation Paper – Draft Regulatory Technical Standards on contracts having a direct, substantial and foreseeable effect within the Un-ion and non-evasion of provisions of EMIR Securities and Markets Stakeholder Group SMSG Advice DOWNLOAD 27.43 KB
2013/SMSG/018 Advice on Discussion Paper – The Clearing Obligation under EMIR Securities and Markets Stakeholder Group SMSG Advice DOWNLOAD 46.94 KB
2011/SMSG/13 Advice on ESMA's draft technical advice to the European Commission on possible implementing measures of the Alternative Investment Fund Man-agers Directive in relation to supervision and third countries Securities and Markets Stakeholder Group SMSG Advice DOWNLOAD 88.23 KB
2011/SMSG/18 Advice on ESMA's public consultation on UCITS Exchange traded funds in the European Union Securities and Markets Stakeholder Group SMSG Advice DOWNLOAD 149.17 KB
2012/SMSG/12 Advice on Guidelines on certain aspects of the MiFID compliance function requirements Securities and Markets Stakeholder Group SMSG Advice DOWNLOAD 83.35 KB
2012/SMSG/11 Advice on Guidelines on certain aspects of the MiFID suitability requirements Securities and Markets Stakeholder Group SMSG Advice DOWNLOAD 138.1 KB
2015/SMSG/026 Advice on Proxy advisors Securities and Markets Stakeholder Group SMSG Advice DOWNLOAD 206.54 KB
ESMA/2015/SMSG/031 Advice on sound remuneration under UCITS and AIFMD Securities and Markets Stakeholder Group SMSG Advice DOWNLOAD 123.3 KB
ESMA22-106-4389 Advice on the SMSG’s role in the Breach of EU Law Procedure Securities and Markets Stakeholder Group SMSG Advice DOWNLOAD 191.55 KB
2013/923 Compliance table - compliance guidelines Guidelines and Technical standards, Investor protection Compliance table DOWNLOAD 100.87 KB
ESMA35-43-2183 Compliance table - Guidelines for the assessment of knowledge and competence (ESMA/2015/1886) Guidelines and Technical standards, Investor protection Compliance table DOWNLOAD 161.56 KB
ESMA32-67-184 Compliance table - guidelines on APMs ESMA 2015-1415 Issuer disclosure, Guidelines and Technical standards Compliance table DOWNLOAD 127.7 KB
ESMA35-43-1957 Compliance table - Guidelines on complex debt instruments and structured deposits (ESMA/2015/1787) Guidelines and Technical standards, Investor protection Compliance table DOWNLOAD 163.99 KB
ESMA35-43-1968 Compliance table - Guidelines on cross-selling practices (ESMA/2016/574) Guidelines and Technical standards, Investor protection Compliance table DOWNLOAD 206.07 KB
2016/572 Compliance table - Guidelines on key concepts of the AIFMD Fund Management, Guidelines and Technical standards Compliance table DOWNLOAD 153.05 KB
ESMA34-45-1128 Compliance table - Guidelines on performance fees in UCITS and certain types of AIFs Fund Management, Guidelines and Technical standards, Supervisory convergence Compliance table DOWNLOAD 250.6 KB
ESMA34-32-458 Compliance table - Guidelines on reporting obligations under Articles 3(3)(d) and 24(1),(2) and (4) of the AIFMD Fund Management, Guidelines and Technical standards Compliance table DOWNLOAD 111.92 KB
2016/675 Compliance table - Guidelines on sound remuneration policies under the AIFMD (ESMA/2013/232) Fund Management, Guidelines and Technical standards Compliance table DOWNLOAD 143.93 KB