ESMA LIBRARY
The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
41
REFINE YOUR SEARCH
Sections
- (-) Remove Guidelines and Technical standards filter Guidelines and Technical standards
- (-) Remove Corporate Disclosure filter Corporate Disclosure
- (-) Remove MiFID - Secondary Markets filter MiFID - Secondary Markets
- (-) Remove Joint Committee filter Joint Committee
- (-) Remove IFRS Supervisory Convergence filter IFRS Supervisory Convergence
- CESR Archive (109) Apply CESR Archive filter
- Fund Management (10) Apply Fund Management filter
- MiFID - Investor Protection (9) Apply MiFID - Investor Protection filter
- Post Trading (7) Apply Post Trading filter
- Market Abuse (4) Apply Market Abuse filter
- Market Integrity (2) Apply Market Integrity filter
- Prospectus (2) Apply Prospectus filter
- Transparency (2) Apply Transparency filter
- Benchmarks (1) Apply Benchmarks filter
- Short Selling (1) Apply Short Selling filter
- Supervisory convergence (1) Apply Supervisory convergence filter
- Trade Repositories (1) Apply Trade Repositories filter
Type of document
- (-) Remove Compliance table filter Compliance table
- (-) Remove CESR Document filter CESR Document
- Guidelines & Recommendations (554) Apply Guidelines & Recommendations filter
- Letter (213) Apply Letter filter
- Reference (204) Apply Reference filter
- Press Release (91) Apply Press Release filter
- Opinion (88) Apply Opinion filter
- Final Report (72) Apply Final Report filter
- Consultation Paper (67) Apply Consultation Paper filter
- Statement (61) Apply Statement filter
- Report (52) Apply Report filter
- Speech (23) Apply Speech filter
- Annual Report (12) Apply Annual Report filter
- Technical Standards (12) Apply Technical Standards filter
- Q&A (11) Apply Q&A filter
- Decision (10) Apply Decision filter
- Technical Advice (7) Apply Technical Advice filter
- SMSG Advice (2) Apply SMSG Advice filter
- Vacancy (2) Apply Vacancy filter
- Investor Warning (1) Apply Investor Warning filter
Your filters
MiFID - Secondary Markets X Joint Committee X IFRS Supervisory Convergence X Planning reporting budget X Guidelines and Technical standards X Corporate Disclosure X Compliance table X CESR Document X
Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 29/06/2012 | 2012/415 | Call for Evidence on Empty Voting | Transparency, Corporate Disclosure | CESR Document | PDF 275.66 KB |
ESMA launched a Call for Evidence on Empty Voting in September 2011 to analyse the potential issues and concerns raised by the practice of empty voting and to examine whether there was a possible need for further action. An analysis of the responses received to the consultation has led ESMA to conclude that there is insufficient evidence to justify any regulatory action at the European level at present. | |||
| 11/02/2020 | ESMA35-43-1076 | Compliance table for Guidelines on MiFID II product governance requirements (ESMA35-43-620) | Guidelines and Technical standards, MiFID - Investor Protection | Compliance table | PDF 157.54 KB |
||||
| 11/03/2020 | ESMA70-156-1434 | Compliance table for Guidelines on non-significant benchmarks (ESMA70-145-1209) | Benchmarks, Guidelines and Technical standards | Compliance table | PDF 129.58 KB |
||||
| 18/02/2015 | 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 | PDF 187.15 KB |
The table contains details of the competent authorities* who comply or intend to comply with the ESAs’ Joint Guidelines on complaints-handling for the securities (ESMA) and banking (EBA) sectors. |
|||
| 06/11/2018 | 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, MiFID - Investor Protection | Compliance table | PDF 293.08 KB |
||||
| 04/12/2019 | 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 | PDF 267.48 KB |
||||
| 04/10/2017 | ESMA34-43-352 | Compliance table for the Guidelines on sound remuneration policies under the UCITS Directive | Fund Management, Guidelines and Technical standards | Compliance table | PDF 154.54 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 145.21 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 112.12 KB |
||||
| 04/10/2017 | 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 | PDF 144.26 KB |
||||
| 22/12/2015 | JC/2015/087 | Compliance Table GL financial conglomerates | Guidelines and Technical standards, Joint Committee | Compliance table | PDF 291.93 KB |
||||
| 08/03/2021 | ESMA70-151-2536 | compliance table Guidelines APC Measures | Guidelines and Technical standards, Trade Repositories | Compliance table | PDF 141.15 KB |
||||
| 08/03/2021 | ESMA70-151-2537 | Compliance table Guidelines Conflict of interest | Guidelines and Technical standards, Post Trading | Compliance table | PDF 141.4 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 150.56 KB |
||||
| 20/06/2019 | ESMA35-43-1430 | Compliance table on Guidelines on MiFID II suitability requirements | Guidelines and Technical standards, MiFID - Investor Protection | Compliance table | PDF 145.71 KB |
||||
| 13/02/2020 | ESMA70-145-66 | Compliance table regarding MAR guidelines for persons receiving market soundings | Guidelines and Technical standards, Market Abuse | Compliance table | PDF 138.03 KB |
||||
| 04/02/2019 | ESMA70-145-67 | Compliance table regarding MAR guidelines on delay in the disclosure of inside information | Guidelines and Technical standards, Market Abuse | Compliance table | PDF 177.87 KB |
||||
| 24/04/2014 | 2013/923 | Compliance table- compliance guidelines | Guidelines and Technical standards, MiFID - Investor Protection | Compliance table | PDF 100.87 KB |
||||
| 27/05/2020 | ESMA35-43-2183 | Compliance table- Guidelines for the assessment of knowledge and competence (ESMA/2015/1886) | Guidelines and Technical standards, MiFID - Investor Protection | Compliance table | PDF 161.38 KB |
||||
| 24/04/2017 | ESMA 32-67-184 | Compliance table- guidelines on APMs ESMA 2015-1415 | Corporate Disclosure, Guidelines and Technical standards | Compliance table | PDF 112.42 KB |