ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
23/01/2013 2013/87 2013 CRA supervision and policy work plan Reference PDF
114.95 KB
01/12/2015 JC/2015/079 2015 list of identified Financial Conglomerates , Reference PDF
146.29 KB
28/09/2015 2015/1469 2015-1469- Investment Firms briefing , Reference PDF
314.38 KB
28/09/2015 2015/1470 2015-1470- Non-financials briefing , Reference PDF
307.12 KB
09/02/2016 2016/272AF 2016_mdsc_cwg_application_form Reference DOCX
40.48 KB
01/12/2017 ESMA22-106-484 2018 SMSG application form , Reference DOCX
39.24 KB
26/03/2018 ESMA35-43-1000 Additional information on the agreed product intervention measures relating to contracts for differences and binary options Reference PDF
202.01 KB
25/04/2017 ESMA22-106-196 Advice in response to JC Discussion Paper on the Use of Big Data by Financial Institutions SMSG Advice PDF
144.22 KB
20/12/2013 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 SMSG Advice PDF
27.43 KB
20/12/2013 2013/SMSG/018 Advice on Discussion Paper – The Clearing Obligation under EMIR SMSG Advice PDF
46.94 KB
28/10/2011 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 SMSG Advice PDF
88.23 KB
01/12/2011 2011/SMSG/18 Advice on ESMA's public consultation on UCITS Exchange traded funds in the European Union SMSG Advice PDF
149.17 KB
28/02/2012 2012/SMSG/12 Advice on Guidelines on certain aspects of the MiFID compliance function requirements SMSG Advice PDF
83.35 KB
28/02/2012 2012/SMSG/11 Advice on Guidelines on certain aspects of the MiFID suitability requirements SMSG Advice PDF
138.1 KB
18/09/2015 2015/SMSG/026 Advice on Proxy advisors SMSG Advice PDF
206.54 KB
11/11/2015 ESMA/2015/SMSG/031 Advice on sound remuneration under UCITS and AIFMD SMSG Advice PDF
123.3 KB
11/06/2013 2013/SMSG/01 Agenda 30-31 January 2013 Reference PDF
109.96 KB
20/02/2020 ESMA34-32-418 AIFMD MoUs signed by the EU authorities , Reference XLSX
50.84 KB
06/10/2017 ESMA/2015/BS/176 A Amendment 2 to the Delegation Agreement- Option A rev1.1 Reference PDF
178.72 KB
06/10/2017 ESMA/2015/BS/176 B Amendment 2 to the Delegation Agreement- Option B rev 1.1 Reference PDF
178.86 KB

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