ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
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 , , Compliance table PDF
477.73 KB
22/12/2015 JC/2015/087 Compliance Table GL financial conglomerates , Compliance table PDF
242.92 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 , Compliance table PDF
280.37 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.
20/03/2013 2013/318 Feedback Statement on proposed amendments to the ESMA update of the CESR recommendations for the consistent implementation of the Prospectuses Regulation regarding mineral companies , , CESR Document PDF
265.19 KB
24/10/2012 JC/CP/2012/01 Feedback statement ESA feedback statement on the Joint CP on Financial Conglomerates CESR Document PDF
82.95 KB
29/06/2012 2012/415 Call for Evidence on Empty Voting , 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.
21/12/2010 10-1351 Feedback statement- Transaction Reporting on OTC Derivatives and Extension of the Scope of Transaction Reporting Obligations CESR Document PDF
93.89 KB
20/12/2010 10-1318 Guidelines- Selection and presentation of performance scenarios in the Key Investor Information document (KII) for structured UCITS CESR Document PDF
198.56 KB
20/12/2010 10-1319 Guidelines- Transition from the Simplified Prospectus to the Key Investor Information document CESR Document PDF
136.11 KB
20/12/2010 10-1320 CESR’s guide to clear language and layout for the Key Investor Information document CESR Document PDF
161.87 KB
20/12/2010 CESR/10-1321 CESR’s template for the Key Investor Information document CESR Document PDF
108.44 KB
20/12/2010 10-1396 Feedback statement- CESR’s level 3 guidelines on the selection and presentation of performance scenarios in the Key Investor Information document (KII) for structured UCITS CESR Document PDF
124.29 KB
20/12/2010 10-1397 Feedback statement- Guidelines for the transition from the Simplified Prospectus to the Key Investor Information document CESR Document PDF
112.83 KB
20/12/2010 10-1398 Feedback statement- A guide to clear language and layout for the Key Investor Information document (KII) CESR Document PDF
103.3 KB
20/12/2010 10-1399 Feedback statement- CESR’s template for the Key Investor Information document CESR Document PDF
123.79 KB
22/10/2010 10-1045 Feedback Statement- CESR Technical Advice to the European Commission in the context of the MiFID Review – Client categorisation CESR Document PDF
253.56 KB
08/10/2010 10-512 Feedback statement on the consultation on guidance to report transactions on OTC derivative instruments and subsequent CESR decisions CESR Document PDF
911.6 KB
08/10/2010 10-661 Guidance to report transactions on OTC derivative instruments CESR Document PDF
703.48 KB
13/09/2010 10-1018 Feedback statement- CESR’s Consultation on Guidance on Common Standards for Assessment of Compliance of Credit Rating Methodologies with the Requirements set out in Article 8.3 CESR Document PDF
162.66 KB
13/09/2010 10-1016 Feedback statement- CESR’s Guidance on the enforcement practices and activities to be conducted under Article 21.3(a) of the Regulation CESR Document PDF
165.25 KB

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