ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
01/02/2022 ESMA35-43-1968 Compliance table- Guidelines on cross-selling practices (ESMA/2016/574) , Compliance table PDF
159.78 KB
01/10/2021 ESMA35-43-1957 Compliance table- Guidelines on complex debt instruments and structured deposits (ESMA/2015/1787) , Compliance table PDF
163.99 KB
14/01/2022 ESMA32-67-184 Compliance table- guidelines on APMs ESMA 2015-1415 , Compliance table PDF
127.7 KB
01/02/2022 ESMA35-43-2183 Compliance table- Guidelines for the assessment of knowledge and competence (ESMA/2015/1886) , Compliance table PDF
161.56 KB
24/04/2014 2013/923 Compliance table- compliance guidelines , Compliance table PDF
100.87 KB
04/02/2019 ESMA70-145-67 Compliance table regarding MAR guidelines on delay in the disclosure of inside information , Compliance table PDF
177.87 KB
13/02/2020 ESMA70-145-66 Compliance table regarding MAR guidelines for persons receiving market soundings , Compliance table PDF
138.03 KB
01/08/2022 ESMA35-43-3339 Compliance table on the Recommendations to the Cyprus Securities and Exchange Commission on the supervision of cross-border activities of investment firms , Compliance table PDF
174.28 KB
04/02/2022 ESMA32-67-802 Compliance table on the Guidelines on the enforcement of financial information , Compliance table PDF
135.55 KB
26/10/2021 ESMA34-49-373 Compliance table on Revised Guidelines on stress tests scenarios under Article 28 of the MMF Regulation ESMA 34-49-291 , Compliance table PDF
220.66 KB
28/01/2022 ESMA50-164-5210 Compliance table on Guidelines on outsourcing to cloud service providers , Compliance table PDF
172.7 KB
16/05/2022 ESMA70-156-4754 Compliance table on Guidelines on MiFID II/MiFIR obligations on market data , Compliance table PDF
168.74 KB
29/10/2021 ESMA35-43-1430 Compliance table on Guidelines on MiFID II suitability requirements , Compliance table PDF
145.3 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
20/04/2022 ESMA34-45-1445 Compliance table on Guidelines on marketing communications under the Regulation on the cross-border distribution of funds , Compliance table PDF
192.62 KB
17/08/2022 ESMA34-45-974 Compliance table on Guidelines on liquidity stress testing in UCITS and AIFs , Compliance table PDF
230.68 KB
31/05/2022 ESMA35-43-2517 Compliance table on Guidelines on certain aspects of the MiFID II compliance function (ESMA35-36-1952) , Compliance table PDF
141.13 KB
20/07/2022 ESMA35-43-3327 Compliance table on Guidelines on certain aspects of the MiFID II appropriateness and execution only requirements , Compliance table PDF
322.1 KB
23/06/2022 ESMA34-32-898 Compliance table on Guidelines on Article 25 of the AIFMD , Compliance table PDF
199.22 KB
08/03/2021 ESMA70-151-2537 Compliance table Guidelines Conflict of interest , Compliance table PDF
141.4 KB