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ESMA Library

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

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6521 documents
Date Reference Title Sections Type Main document Info
2013/619 Comparison of liability regimes in Member States in relation to the Prospectus Directive Prospectus, Issuer disclosure Final Report DOWNLOAD 596.91 KB
09-622 Comparison of the CPSS-IOSCO Recommendations for securities settlement systems (November 2001) and Recommendations for Central Counterparties (November 2004) with the ESCB-CESR Recommendations CESR Archive Final Report DOWNLOAD 1.04 MB
ESMA70-708036281-159 Competent Authorities Responsible for the Authorisation and Supervision of Central Securities Depositories (CSDs) Post Trading Reference DOWNLOAD 238.25 KB
2013/923 Compliance table - compliance guidelines Guidelines and Technical standards, Investor protection Compliance table DOWNLOAD 100.87 KB
ESMA35-43-2183 Compliance table - Guidelines for the assessment of knowledge and competence (ESMA/2015/1886) Guidelines and Technical standards, Investor protection Compliance table DOWNLOAD 161.56 KB
ESMA32-67-184 Compliance table - guidelines on APMs ESMA 2015-1415 Issuer disclosure, Guidelines and Technical standards Compliance table DOWNLOAD 127.7 KB
ESMA35-43-1957 Compliance table - Guidelines on complex debt instruments and structured deposits (ESMA/2015/1787) Guidelines and Technical standards, Investor protection Compliance table DOWNLOAD 163.99 KB
ESMA35-43-1968 Compliance table - Guidelines on cross-selling practices (ESMA/2016/574) Guidelines and Technical standards, Investor protection Compliance table DOWNLOAD 206.07 KB
2016/572 Compliance table - Guidelines on key concepts of the AIFMD Fund Management, Guidelines and Technical standards Compliance table DOWNLOAD 153.05 KB
ESMA34-45-1128 Compliance table - Guidelines on performance fees in UCITS and certain types of AIFs Fund Management, Guidelines and Technical standards, Supervisory convergence Compliance table DOWNLOAD 250.6 KB
ESMA34-32-458 Compliance table - Guidelines on reporting obligations under Articles 3(3)(d) and 24(1),(2) and (4) of the AIFMD Fund Management, Guidelines and Technical standards Compliance table DOWNLOAD 111.92 KB
2016/675 Compliance table - Guidelines on sound remuneration policies under the AIFMD (ESMA/2013/232) Fund Management, Guidelines and Technical standards Compliance table DOWNLOAD 143.93 KB
ESMA70-156-350 Compliance table - Guidelines on the management body of market operators and DRSPs under MiFID II Guidelines and Technical standards, Trading Compliance table DOWNLOAD 150.17 KB
JC GL 2017 17 appendix 1 Compliance table - Joint Guidelines on the prudential assessment of acquisitions and increases of qualifying holdings in the financial sector Joint Committee Reference DOWNLOAD 305.4 KB
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 Guidelines and Technical standards, Market Abuse, Market Integrity Compliance table DOWNLOAD 179.29 KB
2013/922 Compliance table - suitability guidelines Investor protection, Guidelines and Technical standards Compliance table DOWNLOAD 74.33 KB
ESMA70-151-1417 Compliance table for ESMA's Guidelines on the cooperation between authorities under Articles 17 and 23 of CSDR (ESMA70-151-435) Guidelines and Technical standards, Post Trading Compliance table DOWNLOAD 242.48 KB
ESMA35-43-1076 Compliance table for Guidelines on MiFID II product governance requirements (ESMA35-43-620) Guidelines and Technical standards, Investor protection Compliance table DOWNLOAD 157.54 KB
ESMA70-156-1434 Compliance table for Guidelines on non-significant benchmarks (ESMA70-145-1209) Benchmarks, Guidelines and Technical standards Compliance table DOWNLOAD 200.08 KB
JC/GL/2014/43 Appendix 1 Compliance table for JC guidelines for complaints-handling for the securities (ESMA) and banking (EBA) sectors Guidelines and Technical standards, Joint Committee Compliance table DOWNLOAD 187.15 KB