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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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107 documents
Date Reference Title Sections Type Main document Info
2015/1261 Guidelines compliance table - Guidelines on the application of definitions C6 and C7 under MiFID I Trading Compliance table
2015/1014 Draft RTS on prospectus related issues under the Omnibus II Directive Issuer disclosure Technical Standards DOWNLOAD 949.89 KB
2015/1006 Final Report on MiFID II-MiFIR draft technical standards on authorisation, passporting, registration of third country firms and cooperation between competent authorities Investor protection Technical Standards DOWNLOAD 357.16 KB
2015/613 Draft technical standards under Article 10a(8) of MiFID on the assessment of acquisitions and increases in qualifying holdings in investment firms Technical Standards DOWNLOAD 142.57 KB
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
JC/2014/092 Draft RTS on risk concentration and intra-group financial transactions under Financial Conglomerates Directive Joint Committee Technical Standards DOWNLOAD 819.76 KB
2014/1571 Final Report on draft Implementing Technical Standards on main indices and recognised exchanges under the Capital Requirements Regulation Trading Technical Standards DOWNLOAD 281.16 KB
2014-1213 Guidelines compliance table for Guidelines on remuneration policies and practices (MiFID) Investor protection Compliance table DOWNLOAD 122.41 KB
Related documents Guidelines on remuneration policies and practices (MiFID) Guidelines on remuneration policies and practices (MiFID)
Summary
Translated versions
2014/1184 Final report on ESMA's draft technical standards on the Clearing Obligation for Interest Rate OTC Derivatives Post Trading Technical Standards DOWNLOAD 1.17 MB
2014/1187 Draft Regulatory Technical Standards on major shareholdings and an indicative list of financial instruments subject to notification requirements under the revised Transparency Directive Issuer disclosure, Transparency Technical Standards DOWNLOAD 810.07 KB
Related documents ESMA consults on major shareholders disclosures Draft Regulatory Technical Standards on major shareholdings and indicative list of financial instruments subject to notification requirements under the revised Transparency Directive
Summary
Translated versions
2014/685 Draft Regulatory Technical Standards under the CRA3 Regulation Credit Rating Agencies Technical Standards DOWNLOAD 2.39 MB
2013/923 Compliance table - compliance guidelines Guidelines and Technical standards, Investor protection Compliance table DOWNLOAD 100.87 KB
2013/922 Compliance table - suitability guidelines Investor protection, Guidelines and Technical standards Compliance table DOWNLOAD 74.33 KB
2014/161 Draft implementing technical standards on notification - EuSEF Fund Management Technical Standards DOWNLOAD 29.18 KB
2014/160 Draft implementing technical standards on notification - EuVECA Fund Management Technical Standards DOWNLOAD 175.99 KB
2013/1940 Draft technical standards under Article 10a(8) of MiFID on the assessment of acquisitions and increases in qualifying holdings in investment firms Technical Standards DOWNLOAD 622.16 KB
2013/1970 Draft Regulatory Technical Standards on specific situations that require the publication of a supplement to the prospectus Prospectus, Issuer disclosure Technical Standards DOWNLOAD 713.74 KB
2013/1657 Draft technical standards under EMIR on contracts with a direct, substantial and foreseeable effect within the Union and non-evasion Post Trading Technical Standards DOWNLOAD 394.75 KB
2013/1087 Final Report on amended EMIR implementing technical standards Post Trading Technical Standards DOWNLOAD 335.07 KB
JC 2013/01 Final Draft Regulatory Technical Standards Joint Committee Technical Standards DOWNLOAD 1.17 MB