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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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64 documents
Date Reference Title Sections Type Main document Info
2013/922 Compliance table - suitability guidelines Investor protection, Guidelines and Technical standards Compliance table DOWNLOAD 74.33 KB
2013/923 Compliance table - compliance guidelines Guidelines and Technical standards, Investor protection Compliance table DOWNLOAD 100.87 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
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
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
ESMA70-151-3419 Comply or explain table for G&R on PFMIs Guidelines and Technical standards, Post Trading Compliance table DOWNLOAD 141.61 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
ESMA34-43-352 Compliance table for the Guidelines on sound remuneration policies under the UCITS Directive Fund Management, Guidelines and Technical standards Compliance table DOWNLOAD 154.54 KB
ESMA34-32-316 Compliance table for the Guidelines sound remuneration policies under the AIFMD (ESMA/2016/579) Fund Management, Guidelines and Technical standards Compliance table DOWNLOAD 144.26 KB
ESMA41-117-1108 Guidelines compliance table for Guidelines on cooperation arrangements and information exchange Guidelines and Technical standards Compliance table DOWNLOAD 106.76 KB
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 DOWNLOAD 179.29 KB
ESMA70-145-67 Compliance table regarding MAR guidelines on delay in the disclosure of inside information Guidelines and Technical standards, Market Abuse Compliance table DOWNLOAD 177.87 KB
ESMA70-145-1345 Compliance table for the Guidelines on transaction reporting, order record keeping and clock synchronization under MiFID II Guidelines and Technical standards, Trading Compliance table DOWNLOAD 112.12 KB
ESMA70-21038340-46 Compliance table for the Guidelines on market making activities under the Short Selling Regulation Guidelines and Technical standards, Market Integrity, Short Selling Compliance table DOWNLOAD 267.48 KB
ESMA35-43-1076 Compliance table for Guidelines on MiFID II product governance requirements (ESMA35-43-620) Guidelines and Technical standards, Investor protection Compliance table DOWNLOAD 157.54 KB
ESMA70-145-66 Compliance table regarding MAR guidelines for persons receiving market soundings Guidelines and Technical standards, Market Abuse Compliance table DOWNLOAD 138.03 KB
ESMA34-32-699 Guidelines compliance table - Guidelines on model MoU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities (ESMA/2013/998) Fund Management, Guidelines and Technical standards Compliance table DOWNLOAD 108.66 KB
ESMA34-49-186 Confirmation of compliance with Guidelines - MMF Stress test guidelines Fund Management, Guidelines and Technical standards Compliance table DOWNLOAD 136.41 KB
ESMA70-151-2536 compliance table Guidelines APC Measures Guidelines and Technical standards, Trade Repositories Compliance table DOWNLOAD 141.15 KB
ESMA70-151-2537 Compliance table Guidelines Conflict of interest Guidelines and Technical standards, Post Trading Compliance table DOWNLOAD 141.4 KB