ESMA LIBRARY
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| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 17/07/2018 | ESMA70-154-651 | Application form- SMSC CWG Renewal 2018 | MiFID - Secondary Markets | Vacancy | DOCX 37.81 KB |
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| 29/05/2018 | ESMA41-117-1108 | Guidelines compliance table for Guidelines on cooperation arrangements and information exchange | Guidelines and Technical standards | Compliance table | PDF 186.24 KB |
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| 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 |
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| 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 |
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| 24/04/2017 | ESMA 32-67-184 | Compliance table- guidelines on APMs ESMA 2015-1415 | Corporate Disclosure, Guidelines and Technical standards | Compliance table | PDF 137.2 KB |
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| 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 |
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| 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 |
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| 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 |
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| 16/02/2016 | 2016/275 | Comply or explain table for G&R on PFMIs | Guidelines and Technical standards, Post Trading | Compliance table | PDF 121.97 KB |
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| 16/02/2016 | 2016/274 | Comply or explain table for G&R on IO arrangements | Guidelines and Technical standards, Post Trading | Compliance table | PDF 121.43 KB |
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| 16/02/2016 | 2016/273 | Comply or explain table for G&R on CCP college | Guidelines and Technical standards, Post Trading | Compliance table | PDF 129.84 KB |
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| 22/12/2015 | JC/2015/087 | Compliance Table GL financial conglomerates | Guidelines and Technical standards, Joint Committee | Compliance table | PDF 242.92 KB |
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| 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 | |||||
| 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 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. | |||
| 24/04/2014 | 2013/923 | Compliance table- compliance guidelines | MiFID - Investor Protection, Guidelines and Technical standards | Compliance table | PDF 74.45 KB |
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| 24/04/2014 | 2013/922 | Compliance table- suitability guidelines | MiFID - Investor Protection, Guidelines and Technical standards | Compliance table | PDF 74.33 KB |