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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
24/04/2014 2013/923 Compliance table- compliance guidelines , Compliance table PDF
74.45 KB
15/12/2016 2016/1093 Compliance table- Guidelines for the assessment of knowledge and competence (ESMA/2015/1886) , Compliance table PDF
138.26 KB
24/04/2017 ESMA 32-67-184 Compliance table- guidelines on APMs ESMA 2015-1415 , Compliance table PDF
137.2 KB
23/07/2019 ESMA35-43-1542 Compliance table- Guidelines on complex debt instruments and structured deposits (ESMA/2015/1787) , Compliance table PDF
144.16 KB
16/12/2016 2016/1667 Compliance table- Guidelines on cross-selling practices (ESMA/2016/574) , Compliance table PDF
136.94 KB
12/04/2016 2016/602 Compliance table- Guidelines on ETFs and other UCITS issues , Compliance table PDF
193.01 KB
07/04/2016 2016/572 Compliance table- Guidelines on key concepts of the AIFMD , Compliance table PDF
214.15 KB
27/11/2019 ESMA34-32-458 Compliance table- Guidelines on reporting obligations under Articles 3(3)(d) and 24(1),(2) and (4) of the AIFMD , Compliance table PDF
104.13 KB
04/05/2016 2016/675 Compliance table- Guidelines on sound remuneration policies under the AIFMD (ESMA/2013/232) , Compliance table PDF
308.44 KB
03/12/2019 ESMA34-49-176 Compliance table- Guidelines on stress test scenarios under the MMF Regulation , Compliance table PDF
167.68 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
308.27 KB
04/02/2019 ESMA70-145-153 Compliance table- MAR Guidelines on information relating to commodity derivatives markets or related spot markets for the purpose of the definition of inside information on commodity derivatives , , Compliance table PDF
267.86 KB
24/04/2014 2013/922 Compliance table- suitability guidelines , Compliance table PDF
74.33 KB
16/02/2016 2016/273 Comply or explain table for G&R on CCP college , Compliance table PDF
129.84 KB
16/02/2016 2016/274 Comply or explain table for G&R on IO arrangements , Compliance table PDF
121.43 KB
16/02/2016 2016/275 Comply or explain table for G&R on PFMIs , Compliance table PDF
121.97 KB
12/01/2012 ESMA42-110-1132 Confirmation of compliance with guidelines Guidelines & Recommendations PDF
196.55 KB

This document is a template destined to be used by national competent authorities to report their compliance with ESMA guidelines.

18/02/2019 ESMA40-134-347 Conflict of interests and ethics policy- ESMA staff , Reference PDF
6.95 MB
17/12/2012 2011/188 ES Cooperación, incluida la delegación de tareas, entre la AEVM, las autoridades competentes y las autoridades sectoriales competentes con arreglo al Reglamento (UE) n.º 513/2011 sobre las agencias de calificación crediticia Guidelines & Recommendations PDF
177.42 KB
Cooperación, incluida la delegación de tareas, entre la AEVM, las autoridades competentes y las autoridades sectoriales competentes con arreglo al Reglamento (UE) n.º 513/2011 sobre las agencias de calificación crediticia
17/12/2012 2011/188 RO Cooperarea între AEVMP, autorităţile competente şi autorităţile sectoriale competente, inclusiv delegarea de sarcini, în temeiul Regulamentului (UE) nr. 513/2011 privind agenţiile de rating de credit Guidelines & Recommendations PDF
205.42 KB
Cooperarea între AEVMP, autorităţile competente şi autorităţile sectoriale competente, inclusiv delegarea de sarcini, în temeiul Regulamentului (UE) nr. 513/2011 privind agenţiile de rating de credit