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ESMA Guidelines and other Convergence Instruments

Table: ESMA Guidelines and other Convergence Instruments
TitleCodeRelease Date
ESMA Guidelines for reporting under EMIR

Show description: ESMA Guidelines for reporting under EMIR

Implementation: FMA: fully compliant
ESMA74-362-228123.10.2023
Guidelines further specifying the circumstances for temporary restrictions in the case of a significant non-default event in accordance with Article 45a of EMIR

Show description: 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
ESMA91-372-170402.06.2023
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

Show description: 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
ESMA91-372-20602.06.2023
Guidelines on the consistent application of the triggers for the use of Early Intervention Measures (Article 18(8) of CCPRRR)

Show description: Guidelines on the consistent application of the triggers for the use of Early Intervention Measures (Article 18(8) of CCPRRR)

Implementation: Fully compliant
ESMA91-372-170001.06.2023
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)

Show description: 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
ESMA91-372-207001.06.2023
Joint ESMA/EBA Guidelines on common procedures and methodologies for the supervisory review and evaluation process (SREP) under Directive (EU) 2019/2034

Show description: 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: pdf19.04.2023
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
ESMA91-372-170124.03.2023
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
ESMA91-372-170231.01.2023
Guidelines on common procedures and methodologies on supervisory review and evaluation process of CCPs under Article 21 of EMIR

Show description: 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: pdf11.05.2022
Guidelines on stress test scenarios under the MMF Regulation
Implementation: FMA: compliant
ESMA34-49-446 Format: pdf04.05.2022
Guidelines to Delay in the disclosure of inside information and interactions with prudential supervision
Implementation: FMA: compliant
ESMA70-159-4966 Format: pdf13.04.2022
Guidelines on methodology, oversight function and record keeping under the Benchmarks Regulation
Implementation: FMA: compliant
ESMA81-393-288 Format: pdf07.12.2021
Final Guidelines on the MiFID II/ MiFIR obligations on market data
Implementation: FMA: compliant
ESMA70-156-4263 Format: pdf18.08.2021
Guidelines on marketing communications under the Regulation on cross-border distribution of funds
Implementation: FMA: compliant
ESMA34-45-1272 Format: pdf02.08.2021
Guidelines and Recommendations regarding written agreements between members of CCP colleges

Show description: Guidelines and Recommendations regarding written agreements between members of CCP colleges

Implementation: FMA: compliant
ESMA70-151-3431 Format: pdf01.07.2021
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: pdf23.06.2021
Guidelines on disclosure requirements under the Prospectus Regulation
Implementation: FMA: compliant
ESMA32-382-1138 Format: pdf04.03.2021
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: pdf05.11.2020
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: pdf16.07.2020
Guidelines on the reporting to competent authorities under Article 37 of the MMF
Implementation: FMA: compliant
ESMA34-49-173 Format: pdf22.06.2020
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)

Show description: 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: pdf23.03.2020
ESMA-Guidelines on Risk Factors under the Prospectus Regulation
Implementation: FMA: compliant
ESMA31-62-129301.10.2019
Guidelines on non-significant benchmarks under the Benchmarks Regulation
Implementation: FMA: compliant
ESMA70-145-1209 Format: pdf19.06.2019
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: pdf05.06.2019
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: pdf30.04.2019
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: pdf15.04.2019
Guidelines on CCP conflict of interest management

Show description: Guidelines on CCP conflict of interest management

Implementation: FMA: compliant
ESMA70-151-1439 Format: pdf05.04.2019
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: pdf04.10.2018
Guidelines on Cooperation between authorities under Articles 17 and 23 of Regulation (EU) No 909/2014
Implementation: FMA: compliant
ESMA70-151-43528.03.2018
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
ESMA70-708036281-6628.03.2018
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
ESMA70-708036281-6728.03.2018
Guidelines on MiFID II product governance requirements

Show description: Guidelines on MiFID II product governance requirements

Implementation: FMA: compliant
ESMA35-43-620 Format: pdf05.02.2018
Joint Guidelines to prevent terrorist financing and money laundering in electronic fund transfers

Show description: Joint Guidelines to prevent terrorist financing and money laundering in electronic fund transfers

Implementation: FMA: compliant
JC/GL/2017/16 Format: pdf16.01.2018
Guidelines on the management body of market operators and data reporting services providers

Show description: Guidelines on the management body of market operators and data reporting services providers

Implementation: FMA: compliant
ESMA70-154-271 EN Format: pdf19.12.2017
ESMA Guidelines for Calibration of circuit breakers and publication of trading halts under MiFID II
Implementation: FMA: compliant
ESMA70-872942901-6327.06.2017
Guidelines to Access by a CSD to the transaction feeds of CCPs and trading venues
Implementation: FMA: compliant
ESMA70-151-29808.06.2017
Guidelines on CSD participants default rules and procedures
Implementation: FMA: compliant
ESMA70-151-29408.06.2017
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

Show description: 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: pdf07.04.2017
Joint Guidelines on the prudential assessment of acquisitions and increases of qualifying holdings in the financial sector

Show description: 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: pdf05.04.2017
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: pdf17.01.2017
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: pdf05.10.2015
Guidelines and Recommendations regarding the implementation of the CPSS-IOSCO Principles for Financial Market Infrastructures in respect of Central Counterparties

Show description: 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: pdf04.09.2014
Guidelines on reporting obligations under Articles 3(3)(d) and 24(1), (2) and (4) of the AIFMD

Show description: 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: pdf08.08.2014
Guidelines on key concepts of the AIFMD

Show description: Guidelines on key concepts of the AIFMD

Implementation: FMA: compliant
ESMA/2013/611 Format: pdf13.08.2013
Guidelines on the model MoU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities

Show description: 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: pdf18.07.2013
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: pdf03.07.2013
Guidelines on remuneration policies and practices MiFID

Show description: Guidelines on remuneration policies and practices MiFID

Implementation: FMA: compliant
ESMA/2013/606 Format: pdf11.06.2013
Guidelines and Recommendations for etablishing consistent, efficient and effective assessments of interoperability arrangements

Show description: Guidelines and Recommendations for etablishing consistent, efficient and effective assessments of interoperability arrangements

Implementation: FMA: compliant
ESMA/2013/322 Format: pdf10.06.2013
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: pdf02.04.2013
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: pdf25.06.2012
Guidelines on risk measurement and the calculation of global exposure for certain types of structured UCITS

Show description: Guidelines on risk measurement and the calculation of global exposure for certain types of structured UCITS

Implementation: FMA: compliant
ESMA/2012/197 Format: pdf23.03.2012
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: pdf15.05.2009
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: pdf12.07.2007
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: pdf11.05.2005