ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
29/11/2017 ESMA42-111-4285 Peer review on certain aspects of the compliance function under Mi-FID I , Final Report PDF
1.25 MB
18/05/2018 ESMA42-113-769 SCSC Terms of Reference Reference PDF
153.42 KB
20/07/2018 ESMA42-111-4661 ESMA Peer Review Methodology Reference PDF
366.49 KB

This document replaces the previous version of the Review Panel Methodology

30/07/2018 ESMA42-111-4479 Peer review on the Guidelines on ETFs and other UCITS issues Final Report PDF
1.11 MB
06/02/2019 ESMA42-114-647 ESMA's Supervisory Convergence Work Programme 2019 , Reference PDF
334.85 KB
11/02/2019 ESMA35-43-1493 MiFID II supervisory briefing on the use of third-country branches by EU firms , , Reference PDF
469.29 KB
12/12/2019 ESMA42-111-4916 STOR Peer Review Report , Final Report PDF
1.17 MB
20/12/2019 ESMA71-100-1792 CRAs and TRs Follow Up Fees Factsheet , , Reference PDF
122.09 KB
10/01/2020 ESMA71-102-173 ESMA Q&As- list of questions currently under development Reference XLSX
84.79 KB