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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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21 documents
Date Reference Title Sections Type Main document Info
ESMA42-111-7381 Peer review on supervision of CSDs providing cross–border services or participating in interoperable links Supervisory convergence Final Report DOWNLOAD 762.77 KB
ESMA74-362-1853 Final report Draft Guidelines On periodic information to be submitted to ESMA by Trade Repositories Market data, Supervisory convergence, Trade Repositories Final Report DOWNLOAD 221.11 KB
ESMA70-156-2311 MiFID II Review Report on position limits and position management Trading, Supervisory convergence Final Report DOWNLOAD 591.78 KB
ESMA70-151-2919 Final Report EMIR RTS on Colleges for CCPs CCP, Post Trading, Supervisory convergence Final Report DOWNLOAD 273.08 KB
ESMA42-111-4916 STOR Peer Review Report Market Abuse, Supervisory convergence Final Report DOWNLOAD 1.17 MB
ESMA42-111-4479 Peer review on the Guidelines on ETFs and other UCITS issues Supervisory convergence Final Report DOWNLOAD 1.11 MB
ESMA42-111-4285 Peer review on certain aspects of the compliance function under Mi-FID I Investor protection, Supervisory convergence Final Report DOWNLOAD 1.25 MB
2016/1055 Peer Review Report on Prospectus Approval Process Prospectus, Supervisory convergence Final Report DOWNLOAD 1.23 MB
2016/585 Suitability Peer Review - Annex Investor protection, Supervisory convergence Final Report DOWNLOAD 987.81 KB
2016/584 Suitability Peer Review - Final Report Investor protection, Supervisory convergence Final Report DOWNLOAD 459.35 KB
2015/1905 MAD Supervisory Practices peer review follow-up Market Abuse, Supervisory convergence Final Report DOWNLOAD 239.64 KB
2015/592 Automated Trading Guidelines - ESMA peer review among National Competent Authorities Supervisory convergence Final Report DOWNLOAD 930.33 KB
2015/494 Best Execution under MiFID Investor protection, Supervisory convergence Final Report DOWNLOAD 761.62 KB
Related documents MiFID practices for firms selling complex products Structured Retail Products - Good practices for product governance arrangements
Summary
Translated versions
2014/1485 MiFID – Conduct of Business, fair, clear and not misleading information Supervisory convergence Final Report DOWNLOAD 614.16 KB
2013/806 Supervisory Practices under MAD - Mapping Report Market Abuse, Supervisory convergence Final Report DOWNLOAD 315.44 KB
2013/805 Supervisory Practices under MAD - Peer review report and Good Practices Market Abuse, Supervisory convergence Final Report DOWNLOAD 1.17 MB
ESMA/2013/476 Peer Review–Money Market Fund Guidelines Supervisory convergence Final Report DOWNLOAD 763.46 KB
2012/300 Prospectus Directive – Good Practices in the approval process Supervisory convergence Final Report DOWNLOAD 467.38 KB
2012/270 Actual use of sanctioning powers under MAD Supervisory convergence Final Report DOWNLOAD 1.55 MB
2011/194 Report - Mapping of the Transparency Directive Supervisory convergence Final Report DOWNLOAD 1.15 MB