Vi har sammanställt samtliga riktlinjer från Europeiska värdepappers- och marknadsmyndigheten (European Securities and Markets Authority, ESMA).
Samtliga ESMA Guidelines finns tillgängliga på deras webbplats. Det kan dock vara lite svårt att hitta det man söker. Tabellen nedan listar utgivna riktlinjer från myndigheten tillsammans med en länk till ESMA:s webbplats där riktlinjerna finns att ladda ner. För de flesta riktlinjer finns det möjlighet att ladda ner såväl engelsk som svensk version.
| Område | Referens | Titel |
|---|---|---|
| AIFMD | 2014/869 | Guidelines on reporting obligations under Articles 3(3)(d) and 24(1), (2) and (4) of the AIFMD |
| AIFMD | 2013/232 | Guidelines on sound remuneration policies under the AIFMD |
| AIFMD | 2016/579 | Guidelines on sound remuneration policies under the AIFMD |
| AIFMD | 2013/998 | Guidelines on the model MoU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities |
| AIFMD | 2013/611 | Key concepts of the AIFMD |
| CRAR | ESMA33-9-246 | Guidelines on the application of the endorsement regime |
| CRAR | ESMA33-9-205 | Update of the Guidelines on the application of the endorsement regime under Article 4 (3) of the Credit Rating Agencies Regulation No 1060/2009 |
| CRAR | 2011/139 | Guidelines on the application of the endorsement regime under Article 4 (3) of the Credit Rating Agencies Regulation No 1060/2009 |
| CRAR | 2011/188 | Cooperation including delegation between ESMA, the competent authorities and the sectoral competent authorities under Regulation (EU) No 513/2011 on credit rating agencies |
| CRAR | 2016/1575 | Guidelines on the validation and review of Credit Rating Agencies' methodologies |
| CRAR | 2015/609 | Guidelines on periodic information to be submitted to ESMA by Credit Rating Agencies |
| CRAR | 2013/720 | Guidelines and Recommendations on the Scope of the CRA Regulation |
| CSDR | ESMA70-151-1258 | Guidelines on Internalised Settlement Reporting under Article 9 of CSDR |
| CSDR | ESMA70-708036281-67 | CSDR guidelines on substantial importance of CSDs |
| CSDR | ESMA70-151-435 | CSDR guidelines on cooperation between authorities under Articles 17 and 23 of Regulation (EU) No 909/2014 |
| CSDR | ESMA70-708036281-66 | CSDR guidelines on relevant currencies |
| CSDR | ESMA70-151-298 | Guidelines on CSD access to trading feeds of CCPs and TVs |
| CSDR | ESMA70-151-294 | Guidelines on CSD participant default rules |
| EMIR | 2013/322 | Guidelines and Recommendations for establishing consistent, efficient and effective assessments of interoperability arrangements |
| EMIR | ESMA70-151-1116 | Guidelines on transfer of data between TRs |
| EMIR | ESMA70-151-1094 | Guidelines on CCP conflict of interest management |
| EMIR | ESMA70-151-1272 | Guidelines on position calculation by trade repositories under EMIR |
| EMIR | ESMA70-151-1293 | Guidelines on CCP APC Margin Measures |
| EMIR | 2014/1133 | Guidelines and Recommendations regarding the implementation of the CPSS-IOSCO Principles for Financial Market Infrastructures in respect of Central Counterparties |
| EMIR | 2013/1390 | Guidelines and Recommendations regarding written agreements between members of CCP colleges |
| ESMA | 2014/298 | Guidelines on cooperation arrangements and information exchange between competent authorities and between competent authorities and ESMA |
| ESMA | JC/2014/43 | Guidelines for complaints-handling for the securities (ESMA) and banking (EBA) sectors |
| FICOD | JC/GL/2014/01 | Joint Guidelines on coordination arrangements for financial conglomerates |
| MAR | 2016/1477 | Guidelines for persons receiving market soundings |
| MAR | 2016/1478 | MAR Guidelines - delay in the disclosure of inside information |
| MAR | ESMA/2016/1480 | MAR Guidelines on commodity derivatives |
| MiFID I | 2012/387 | Guidelines on certain aspects of the MiFID suitability requirements |
| MiFID I | 2015/1341 | Guidelines on the application of C6 and C7 of Annex 1 of MiFID |
| MiFID I | 2013/606 | Guidelines on remuneration policies and practices (MiFID) |
| MiFID I | 2012/388 | Guidelines on certain aspects of the MiFID compliance function requirements |
| MiFID I | 2012/122 | Systems and controls in an automated trading environment for trading platforms, investment firms and competent authorities |
| MiFID II | ESMA70-154-271 | Guidelines on the management body of market operators and data reporting services providers |
| MiFID II | ESMA35-43-620 | Guidelines on MiFID II product governance requirements |
| MiFID II | 2016/574 | Guidelines on Cross-Selling Practices under MiFID II |
| MiFID II | ESMA71-99-598 | Joint ESMA/EBA guidelines on the assessment of suitability of members of the management body and key function holders |
| MiFID II | ESMA35-43-1163 | Guidelines on certain aspects of the MiFID II suitability requirements |
| MiFID II | ESMA70-872942901-63 | Guidelines on calibration of circuit breakers and publication of trading halts under MiFID II |
| MiFID II | ESMA/2016/1452 | Transaction reporting, order record keeping and clock synchronisation under MiFID II |
| MiFID II | 2015/1787 | Guidelines on complex debt instruments and structured deposits |
| MiFID II | 2015/1886 | Guidelines for the assessment of knowledge and competence |
| MMFR | ESMA34-49-103 | Guidelines on stress test scenarios |
| SSR | 2013/74 | Guidelines on exemption for market making activities and primary market operations under the short selling regulation |
| TD | 2015/1415 | Guidelines on Alternative Performance Measures |
| TD | 2014-1293 | Guidelines on enforcement of financial information |
| UCITS | 2016/575 | Guidelines on sound remuneration policies under the UCITS Directive |
| UCITS | 2014/937 | Guidelines on ETFs and other UCITS issues |
| UCITS | 2012/197 | Guidelines on risk measurement and the calculation of global exposure for certain types of structured UCITS |
| UCITS | 2012/832 | Guidelines on ETFs and other UCITS issues |
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