ESMA Guidelines and other Convergence Instruments
Title | Code | Release Date |
---|---|---|
ESMA Guidelines for reporting under EMIR Show description: ESMA Guidelines for reporting under EMIR Implementation: FMA: fully compliant | ESMA74-362-2281 | 23.10.2023 |
Guidelines further specifying the circumstances for temporary restrictions in the case of a significant non-default event in accordance with Article 45a of EMIR Implementation: Fully compliant | ESMA91-372-1704 | 02.06.2023 |
Guidelines on the methodology to be used by the resolution authority for determining the valuation of contracts prior to their termination as referred to in Article 29(1) of CCPRRR Implementation: Fully compliant | ESMA91-372-206 | 02.06.2023 |
Guidelines on the consistent application of the triggers for the use of Early Intervention Measures (Article 18(8) of CCPRRR) Implementation: Fully compliant | ESMA91-372-1700 | 01.06.2023 |
Guidelines on the application of the circumstances under which a central counterparty is deemed to be failing or likely to fail (Article 22(6) of CCPRRR) Implementation: Fully compliant | ESMA91-372-2070 | 01.06.2023 |
Joint ESMA/EBA Guidelines on common procedures and methodologies for the supervisory review and evaluation process (SREP) under Directive (EU) 2019/2034 Implementation: FMA: fully compliant | EBA/GL/2022/09 Format: pdf | 19.04.2023 |
On CCP recovery plan scenarios (Article 9(12) of CCPRRR) Show description: On CCP recovery plan scenarios (Article 9(12) of CCPRRR) Implementation: Fully compliant | ESMA91-372-1701 | 24.03.2023 |
Guidelines on CCP recovery plan indicators (Article 9(5) CCPRRR) Show description: Guidelines on CCP recovery plan indicators (Article 9(5) CCPRRR) Implementation: Fully compliant | ESMA91-372-1702 | 31.01.2023 |
Guidelines on common procedures and methodologies on supervisory review and evaluation process of CCPs under Article 21 of EMIR Implementation: FMA: compliant | ESMA70-151-3374 Format: pdf | 11.05.2022 |
Guidelines on stress test scenarios under the MMF Regulation Implementation: FMA: compliant | ESMA34-49-446 Format: pdf | 04.05.2022 |
Guidelines to Delay in the disclosure of inside information and interactions with prudential supervision Implementation: FMA: compliant | ESMA70-159-4966 Format: pdf | 13.04.2022 |
Guidelines on methodology, oversight function and record keeping under the Benchmarks Regulation Implementation: FMA: compliant | ESMA81-393-288 Format: pdf | 07.12.2021 |
Final Guidelines on the MiFID II/ MiFIR obligations on market data Implementation: FMA: compliant | ESMA70-156-4263 Format: pdf | 18.08.2021 |
Guidelines on marketing communications under the Regulation on cross-border distribution of funds Implementation: FMA: compliant | ESMA34-45-1272 Format: pdf | 02.08.2021 |
Guidelines and Recommendations regarding written agreements between members of CCP colleges Implementation: FMA: compliant | ESMA70-151-3431 Format: pdf | 01.07.2021 |
Guidlelines on Article 25 of Directive 2011/61/EU Show description: Guidlelines on Article 25 of Directive 2011/61/EU Implementation: FMA: compliant | ESMA34-32-701 Format: pdf | 23.06.2021 |
Guidelines on disclosure requirements under the Prospectus Regulation Implementation: FMA: compliant | ESMA32-382-1138 Format: pdf | 04.03.2021 |
Guidelines on performance fees in UCITS and certain types of AIFs Show description: Guidelines on performance fees in UCITS and certain types of AIFs Implementation: FMA: compliant | ESMA-34-39-992 Format: pdf | 05.11.2020 |
Guidelines on liquidity stress testing in UCITS and AIFs Show description: Guidelines on liquidity stress testing in UCITS and AIFs Implementation: FMA: compliant | ESMA34-39-897 Format: pdf | 16.07.2020 |
Guidelines on the reporting to competent authorities under Article 37 of the MMF Implementation: FMA: compliant | ESMA34-49-173 Format: pdf | 22.06.2020 |
Joint guidelines on cooperation and information exchange for the purpose of Directive (EU) 2015/849 between competent authorities supervising credit and financial institutions (The AML/CFT Colleges Guidelines) Implementation: FMA: fully compliant | JC 2019 81 Format: pdf | 23.03.2020 |
ESMA-Guidelines on Risk Factors under the Prospectus Regulation Implementation: FMA: compliant | ESMA31-62-1293 | 01.10.2019 |
Guidelines on non-significant benchmarks under the Benchmarks Regulation Implementation: FMA: compliant | ESMA70-145-1209 Format: pdf | 19.06.2019 |
Guidelines on the application of C6 and C7 of Annex 1 of MiFID II Show description: Guidelines on the application of C6 and C7 of Annex 1 of MiFID II Implementation: FMA: compliant | ESMA-70-156-869 Format: pdf | 05.06.2019 |
Guidelines on Internalised Settlement Reporting under Article 9 of CSDR Show description: Guidelines on Internalised Settlement Reporting under Article 9 of CSDR Implementation: FMA: compliant | ESMA70-151-367 Format: pdf | 30.04.2019 |
Guidelines on EMIR Anti-Procyclicality Margin Measures for Central Counterparties Show description: Guidelines on EMIR Anti-Procyclicality Margin Measures for Central Counterparties Implementation: FMA: intend to comply from 02.01.2020 | ESMA70-151-1496 Format: pdf | 15.04.2019 |
Guidelines on CCP conflict of interest management Show description: Guidelines on CCP conflict of interest management Implementation: FMA: compliant | ESMA70-151-1439 Format: pdf | 05.04.2019 |
Guidelines on complaints-handling for the securities and banking sectors Show description: Guidelines on complaints-handling for the securities and banking sectors Implementation: FMA: compliant | JC 2018 35 Format: pdf | 04.10.2018 |
Guidelines on Cooperation between authorities under Articles 17 and 23 of Regulation (EU) No 909/2014 Implementation: FMA: compliant | ESMA70-151-435 | 28.03.2018 |
Guidelines on On the Process for the Calculation of the Indicators to Determine the Most Relevant Currencies in which Settlement Takes Place Implementation: FMA: compliant | ESMA70-708036281-66 | 28.03.2018 |
Guidelines On the Process for the Calculation of the Indicators to Determine the Substantial Importance of a CSD for a Host Member State Implementation: FMA: compliant | ESMA70-708036281-67 | 28.03.2018 |
Guidelines on MiFID II product governance requirements Show description: Guidelines on MiFID II product governance requirements Implementation: FMA: compliant | ESMA35-43-620 Format: pdf | 05.02.2018 |
Joint Guidelines to prevent terrorist financing and money laundering in electronic fund transfers Implementation: FMA: compliant | JC/GL/2017/16 Format: pdf | 16.01.2018 |
Guidelines on the management body of market operators and data reporting services providers Implementation: FMA: compliant | ESMA70-154-271 EN Format: pdf | 19.12.2017 |
ESMA Guidelines for Calibration of circuit breakers and publication of trading halts under MiFID II Implementation: FMA: compliant | ESMA70-872942901-63 | 27.06.2017 |
Guidelines to Access by a CSD to the transaction feeds of CCPs and trading venues Implementation: FMA: compliant | ESMA70-151-298 | 08.06.2017 |
Guidelines on CSD participants default rules and procedures Implementation: FMA: compliant | ESMA70-151-294 | 08.06.2017 |
The Risk-Based Supervision Guidelines: Joint Guidelines on the characteristics of a risk-based approach to anti-money laundering and terrorist financing supervision, and the steps to be taken when conducting supervision on a risk-sensitive basis Implementation: FMA: compliant | ESAs 2016 72 Format: pdf | 07.04.2017 |
Joint Guidelines on the prudential assessment of acquisitions and increases of qualifying holdings in the financial sector Implementation: FMA: compliant | JC/GL/2016/01 Format: pdf | 05.04.2017 |
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 Implementation: FMA:compliant | ESMA/2016/1480 Format: pdf | 17.01.2017 |
MAR Guidelines "Persons receiving market soundings" Implementation: FMA: compliant | 10.11.2016 | |
Guidelines on Alternative Performance Measures Show description: Guidelines on Alternative Performance Measures Implementation: FMA: compliant | ESMA/2015/1415en Format: pdf | 05.10.2015 |
Guidelines and Recommendations regarding the implementation of the CPSS-IOSCO Principles for Financial Market Infrastructures in respect of Central Counterparties Implementation: FMA: compliant | ESMA/2014/1133 Format: pdf | 04.09.2014 |
Guidelines on reporting obligations under Articles 3(3)(d) and 24(1), (2) and (4) of the AIFMD Implementation: FMA: compliant | ESMA/2014/869EN Format: pdf | 08.08.2014 |
Guidelines on key concepts of the AIFMD Show description: Guidelines on key concepts of the AIFMD Implementation: FMA: compliant | ESMA/2013/611 Format: pdf | 13.08.2013 |
Guidelines on the model MoU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities Implementation: FMA: compliant | ESMA/2013/998 Format: pdf | 18.07.2013 |
Guidelines on sound remuneration policies under the AIFMD Show description: Guidelines on sound remuneration policies under the AIFMD Implementation: FMA: compliant | ESMA/2013/232 Format: pdf | 03.07.2013 |
Guidelines on remuneration policies and practices MiFID Show description: Guidelines on remuneration policies and practices MiFID Implementation: FMA: compliant | ESMA/2013/606 Format: pdf | 11.06.2013 |
Guidelines and Recommendations for etablishing consistent, efficient and effective assessments of interoperability arrangements Implementation: FMA: compliant | ESMA/2013/322 Format: pdf | 10.06.2013 |
Guidelines for market making activities and primary market operations under Regulation (EU) 236/2012 of the European Parliament and the Council on short selling and certain aspects of Credit Default Swaps Implementation: FMA: compliant | ESMA/2013/74 Format: pdf | 02.04.2013 |
Guidelines on certain aspects of the MiFID compliance function requirements Show description: Guidelines on certain aspects of the MiFID compliance function requirements Implementation: FMA: compliant | ESMA/2012/388 Format: pdf | 25.06.2012 |
Guidelines on risk measurement and the calculation of global exposure for certain types of structured UCITS Implementation: FMA: compliant | ESMA/2012/197 Format: pdf | 23.03.2012 |
The third set of CESR guidance at level Show description: The third set of CESR guidance at level Implementation: FMA: compliant | CESR/09-219 Format: pdf | 15.05.2009 |
The second set of CESR guidance at level 3 Show description: The second set of CESR guidance at level 3 Implementation: FMA: compliant | CESR/06-562b Format: pdf | 12.07.2007 |
CESR Level 3 Guideline on Publication and Consolidation of MiFID transparency data Show description: CESR Level 3 Guideline on Publication and Consolidation of MiFID transparency data Implementation: FMA: compliant | 01.02.2007 | |
The first set of CESR guidance at level 3 Show description: The first set of CESR guidance at level 3 Implementation: FMA: compliant | CESR/04-505b Format: pdf | 11.05.2005 |