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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
23/06/2009 09-446 CESR-ESCB recommendations for securities settlement systems and recommendations for central counterparties in the European Union CESR Document PDF
720.58 KB
30/08/2010 10-945 CESR’s Guidance on common standards for assessment of compliance of credit rating methodologies with the requirements set out in Article 8.3 CESR Document PDF
258.93 KB
30/08/2010 10-944 CESR’s Guidance on the enforcement practices and activities to be conducted under Article 21.3(a) of the Regulation CESR Document PDF
272.32 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
27/10/2005 05-484 CESR’s guidelines for supervisors regarding the notification procedure according to Section VIII of the UCITS Directive CESR Document PDF
214.72 KB
03/02/2005 04-434b CESR’s guidelines for supervisors regarding the transitional provisions of the amending UCITS Directives (2001/107/EC and 2001/108/EC) CESR Document PDF
117.45 KB
29/06/2006 06-120b CESR’s guidelines to simplify the notification procedure of UCITS CESR Document PDF
206.85 KB
24/06/2004 04-225b CESR’s recommendations for the consistent implementation of the European Commission’s Regulation on Prospectuses nº 809/2004 CESR Document PDF
712.97 KB
10/02/2005 05-054b CESR’s recommendations for the consistent implementation of the European Commission’s Regulation on Prospectuses nº 809/2004 CESR Document PDF
288.29 KB
20/12/2010 CESR/10-1321 CESR’s template for the Key Investor Information document CESR Document PDF
108.44 KB
11/03/2020 ESMA70-156-1434 Compliance table for Guidelines on non-significant benchmarks (ESMA70-145-1209) , 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 , 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.

17/12/2021 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
302.18 KB
10/12/2021 JC/2015/087 Compliance Table GL financial conglomerates , Compliance table PDF
300.38 KB
08/03/2021 ESMA70-151-2536 compliance table Guidelines APC Measures , Compliance table PDF
141.15 KB
07/06/2022 ESMA81-393-477 Compliance table on Guidelines on methodology oversight function and record keeping requirements , Compliance table PDF
195.01 KB
05/04/2007 07-121b annex Conclusions on IFRIC rejection notes Press Release PDF
36.96 KB
26/09/2017 ESMA71-99-599 EBA and ESMA provide guidance to assess the suitability of management body members and key function holders , , , Press Release PDF
243.97 KB

The European Banking Authority (EBA) and the European Securities and Markets Authority (ESMA) have published their joint Guidelines to assess the suitability of members of management bodies and key function holders.

24/07/2014 2014/61 EBA, ESMA and EIOPA consult on technical standards for financial conglomerates risk concentration and intra-group transactions , Press Release PDF
79.27 KB
The Joint Committee of the three European Supervisory Authorities (ESAs - EBA, ESMA and EIOPA) launched today a consultation on draft Regulatory Technical Standards (RTS) on risk concentration and intra-group transactions within financial conglomerates. The technical standards aim at enhancing supervisory consistency in the application of the Financial Conglomerates Directive (FICOD). The consultation runs until 24 October 2014. The objective of the draft RTS is to clarify which risk concentrations and intra-group transactions within a financial conglomerate should be considered as significant. In addition, the RTS provide some supervisory measures for coordinators and other relevant competent authorities when identifying types of significant risk concentration and intra-group transactions, their associated thresholds and reports, where appropriate. The consultation paper is available on the websites of the three ESAs: EBA, ESMA and EIOPA. Comments to this consultation paper can be sent to the Joint Committee. Legal background The three ESAs have developed these RTS in accordance with Article 21a (1a) of Directive 2002/87/EC (FICOD), which mandates the three ESAs, through the Joint Committee, to develop RTS to clarify the definitions on risk concentration and intra-group transactions provided in Article 2 of the FICOD and to coordinate the provisions laid down in Articles 7 and 8 and Annex II.
11/04/2012 JC/2012/30 EBA, ESMA and EIOPA publish two reports on Money Laundering , Press Release PDF
69.92 KB