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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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31 documents
Date Reference Title Sections Type Main document Info
ESMA35-335435667-5931 Final Report on the 2023 Common Supervisory Action and Mystery Shopping Exercise on marketing Investor protection Report DOWNLOAD 998.39 KB
ESMA35-335435667-4520 Compliance table on the Guidelines on MiFID II product governance (2023) Guidelines and Technical standards, Investor protection Compliance table DOWNLOAD 173.43 KB
ESMA35-335435667-4314 Compliance table on the Gudelines on MiFID II remuneration requirements Guidelines and Technical standards, Investor protection Compliance table DOWNLOAD 187.67 KB
ESMA50-524821-3157 TRV Article - Social media sentiment: Influence on EU equity prices Investor protection, Risk monitoring Report DOWNLOAD 486.29 KB
ESMA35-335435667-4315 Compliance table on the Guidelines on certain aspects of the MiFID II suitability requirements (2023 revised version) Guidelines and Technical standards, Investor protection Compliance table DOWNLOAD 174.96 KB
ESMA35-43-3327 Compliance table on Guidelines on certain aspects of the MiFID II appropriateness and execution only requirements Guidelines and Technical standards, Investor protection Compliance table DOWNLOAD 272.27 KB
ESMA35-43-3861 Supervisory briefing on understanding the definition of advice under MiFID II Investor protection Report DOWNLOAD 844.02 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
ESMA35-42-1428 Supervisory Briefing on Copy Trading Investor protection Report DOWNLOAD 400.37 KB
JC 2022 81 Joint Thematic Report on national financial education initiatives on digitalization Joint Committee, Investor protection Report DOWNLOAD 364.38 KB
ESMA35-36-2780 Supervisory briefing - Supervision of cross-border activities of investment firms Investor protection Report DOWNLOAD 233.78 KB
ESMA35-43-2517 Compliance table on Guidelines on certain aspects of the MiFID II compliance function (ESMA35-36-1952) Guidelines and Technical standards, Investor protection Compliance table DOWNLOAD 149.47 KB
ESMA35-43-3020 Joint compliance table on ESMA and EBA guidelines on the assessment of the suitability of members of the management body and key function holders Guidelines and Technical standards, Investor protection Compliance table DOWNLOAD 320.25 KB
ESMA35-43-3301 Report on Sanctions and measures imposed under MiFID II in 2021 Investor protection Report DOWNLOAD 900.31 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
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, Investor protection Compliance table DOWNLOAD 302.18 KB
ESMA35-43-1430 Compliance table on Guidelines on MiFID II suitability requirements Guidelines and Technical standards, Investor protection Compliance table DOWNLOAD 145.3 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
ESMA35-43-2751 Sanctions and measures imposed under MiFID II in 2020 Investor protection Report DOWNLOAD 383.39 KB
ESMA35-43-2507 Report to the EU institutions Article 52 MiFIR Investor protection Report DOWNLOAD 354.1 KB