ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
13/01/2021 ESMA50-164-4045 Guidelines on the reporting to Competent Authorities under Article 37 of the MMF Regulation Fund Management Compliance table PDF
147.09 KB
08/01/2021 ESMA70-156-177 Compliance table for the Guidelines on the calibration of circuit breakers and publication of trading halts under MiFID II (ESMA70-872942901-63) MiFID - Secondary Markets Compliance table PDF
129.28 KB
18/12/2020 ESMA34-49-186 Confirmation of compliance with Guidelines- MMF Stress test guidelines Fund Management, Guidelines and Technical standards Compliance table PDF
136.41 KB
01/12/2020 ESMA32-67-142 Compliance table on ESMA Guidelines on the enforcement of financial information Corporate Disclosure, IFRS Supervisory Convergence Compliance table PDF
159.14 KB
13/11/2020 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 PDF
113.46 KB
09/10/2020 ESMA70-156-3300 MiFID II/MiFIR Annual Report under Commission Delegated Regulation (EU) 2017/583 (RTS 2) MiFID - Secondary Markets Annual Report PDF
477.23 KB
27/11/2019 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 PDF
104.13 KB
09/10/2019 ESMA70-156-1010 On the application of waivers and deferrals MiFID - Secondary Markets Annual Report PDF
7.3 MB
03/09/2019 ESMA70-156-1411 Confirmation of compliance with Guidelines on the application of C6 and C7 of Annex 1 of MIFID II- COMPLIANCE TABLE MiFID - Secondary Markets Compliance table PDF
103.79 KB
21/03/2019 ESMA70-145-1345 Compliance table for the Guidelines on transaction reporting, order record keeping and clock synchronization under MiFID II Guidelines and Technical standards, MiFID - Secondary Markets Compliance table PDF
131.72 KB
20/09/2018 ESMA70-156-350 Compliance table- Guidelines on the management body of market operators and DRSPs under MiFID II Guidelines and Technical standards, MiFID - Secondary Markets Compliance table PDF
308.27 KB
04/10/2017 ESMA34-32-316 Compliance table for the Guidelines on sound remuneration policies under the AIFMD (ESMA/2016/579) Fund Management, Guidelines and Technical standards Compliance table PDF
310.68 KB
04/10/2017 ESMA34-43-352 Compliance table for the Guidelines on sound remuneration policies under the UCITS Directive (ESMA/2016/575) Fund Management, Guidelines and Technical standards Compliance table PDF
318.38 KB
04/05/2016 2016/675 Compliance table- Guidelines on sound remuneration policies under the AIFMD (ESMA/2013/232) Fund Management, Guidelines and Technical standards Compliance table PDF
308.44 KB
12/04/2016 2016/602 Compliance table- Guidelines on ETFs and other UCITS issues Fund Management, Guidelines and Technical standards Compliance table PDF
193.01 KB
07/04/2016 2016/572 Compliance table- Guidelines on key concepts of the AIFMD Fund Management, Guidelines and Technical standards Compliance table PDF
214.15 KB
14/08/2015 2015/1261 Guidelines compliance table- Guidelines on the application of definitions C6 and C7 under MiFID I MiFID - Secondary Markets Compliance table