ESMA LIBRARY

The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
58
DOCUMENTS

REFINE YOUR SEARCH

Sections

Type of document

Your filters
Prospectus X Risk Analysis & Economics - Markets Infrastructure Investors X CESR Archive X Audit X IFRS Supervisory Convergence X Credit Rating Agencies X Post Trading X Guidelines and Technical standards X Trade Repositories X Compliance table X Q&A X
Reset all filters
Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
08/03/2021 ESMA70-151-2536 compliance table Guidelines APC Measures , Compliance table PDF
141.15 KB
08/03/2021 ESMA70-151-2537 Compliance table Guidelines Conflict of interest , Compliance table PDF
141.4 KB
16/02/2016 ESMA70-151-3417 Comply or explain table for G&R on CCP college , Compliance table PDF
141.53 KB
16/02/2016 ESMA70-151-3418 Comply or explain table for G&R on IO arrangements , Compliance table PDF
141.37 KB
16/02/2016 ESMA70-151-3419 Comply or explain table for G&R on PFMIs , Compliance table PDF
141.61 KB
23/10/2018 ESMA70-151-727 Compliance table for the Guidelines on CSD Access to the trading feeds of CCPs and trading venues (ESMA70-151-298) Compliance table PDF
151.14 KB
23/10/2018 ESMA70-151-732 Compliance table for the Guidelines on participant default rules and procedures under Regulation (EU) No 909/2014 (ESMA70-151-294) Compliance table PDF
140.8 KB
14/12/2017 ESMA70-151-957 MiFID II Q&A on post-trading issues , Q&A PDF
280.02 KB
11/03/2020 ESMA70-156-1434 Compliance table for Guidelines on non-significant benchmarks (ESMA70-145-1209) , Compliance table PDF
129.58 KB
20/09/2018 ESMA70-156-350 Compliance table- Guidelines on the management body of market operators and DRSPs under MiFID II , Compliance table PDF
145.2 KB
28/05/2021 ESMA70-1861941480-52 Q&A on EMIR implementation , Q&A PDF
1.39 MB
04/12/2019 ESMA70-21038340-46 Compliance table for the Guidelines on market making activities under the Short Selling Regulation , , Compliance table PDF
267.48 KB
08/07/2020 ESMA70-708036281-2 Q&As- Central Securities Depositories Regulation , Q&A PDF
446.04 KB
28/05/2021 ESMA70-708036281-2 Questions and Answers on CSDR , Q&A PDF
576.64 KB
03/11/2020 ESMA71-99-1423 QA Fast Track Peer Review- Wirecard , , Q&A PDF
248.14 KB
28/05/2021 ESMA74-362-893 QAs on SFTR data reporting , , Q&A PDF
349.73 KB
22/12/2015 JC/2015/087 Compliance Table GL financial conglomerates , Compliance table PDF
291.93 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.