ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
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
01/06/2022 ESA 2022 23 Joint ESA report on the withdrawal of authorisation for serious breaches of AML/CFT rules Report PDF
776.21 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
09/06/2022 ESMA 50-165-2153 ESMA Trends, Risks and Vulnerabilities report- Risk update Report PDF
340.8 KB
23/06/2022 ESMA34-32-898 Compliance table on Guidelines on Article 25 of the AIFMD , Compliance table PDF
199.22 KB
23/06/2022 ESMA70-156-350 Compliance table- Guidelines on the management body of market operators and DRSPs under MiFID II , Compliance table PDF
188.98 KB
19/07/2022 ESMA35-43-3020 Joint compliance table on ESMA and EBA guidelines on the assessment of the suitability of members of the management body and key function holders , Compliance table PDF
320.25 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
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

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