ESMA LIBRARY
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| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 01/02/2022 | 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 161.56 KB |
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| 19/01/2022 | ESMA35-43-2517 | Compliance table on Guidelines on certain aspects of the MiFID II compliance function (ESMA35-36-1952) | Guidelines and Technical standards, MiFID - Investor Protection | Compliance table | PDF 140.42 KB |
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| 19/11/2021 | ESMA50-164-4045 | Guidelines on the reporting to Competent Authorities under Article 37 of the MMF Regulation | Fund Management | Compliance table | PDF 145.22 KB |
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| 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 |
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| 10/12/2021 | JC/2015/087 | Compliance Table GL financial conglomerates | Guidelines and Technical standards, Joint Committee | Compliance table | PDF 300.38 KB |
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| 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. |