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ESMA Guidelines

Table: ESMA Guidelines
TitleCodeRelease Date
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

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Implementation: FMA: compliant
ESAs 2016 7207.04.2017
Joint Guidelines on the prudential assessment of acquisitions and increases of qualifying holdings in the financial sector

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Implementation: FMA: compliant
JC/GL/2016/0105.04.2017
MAR Guidelines "Persons receiving market soundings"
Implementation: FMA: compliant
ESMA/2016/147710.11.2016
MAR Guidelines "Delay in the disclosure of inside information"
Implementation: FMA: compliant
ESMA/2016/147820.10.2016
Guidelines on Alternative Performance Measures

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Implementation: FMA: compliant
ESMA/2015/1415en05.10.2015
Guidelines on the application of the definitions in Sections C6 and C7 of Annex I of Directive 2004 39 EC (MiFID)

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Implementation: FMA: compliant
ESMA/2015/67506.05.2015
Guidelines and Recommendations regarding the implementation of the CPSS-IOSCO Principles for Financial Market Infrastructures in respect of Central Counterparties

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Implementation: FMA: compliant
ESMA/2014/113304.09.2014
Guidelines on reporting obligations under Articles 3(3)(d) and 24(1), (2) and (4) of the AIFMD

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Implementation: FMA: compliant
ESMA/2014/869EN08.08.2014
Guidelines and Recommendations regarding written agreements between members of CCP colleges

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Implementation: FMA: compliant
ESMA/2013/139003.10.2013
Guidelines on key concepts of the AIFMD

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Implementation: FMA: compliant
ESMA/2013/61113.08.2013
Guidelines on the model MoU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities

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Implementation: FMA: compliant
ESMA/2013/99818.07.2013
Guidelines on sound remuneration policies under the AIFMD

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Implementation: FMA: compliant
ESMA/2013/23203.07.2013
Guidelines on remuneration policies and practices MiFID

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Implementation: FMA: compliant
ESMA/2013/60611.06.2013
Guidelines and Recommendations for etablishing consistent, efficient and effective assessments of interoperability arrangements

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Implementation: FMA: compliant
ESMA/2013/32210.06.2013
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/2013/7402.04.2013
Guidelines on certain aspects of the MiFID suitability requirements

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Implementation: FMA: compliant
ESMA/2012/38706.07.2012
Guidelines on certain aspects of the MiFID compliance function requirements

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Implementation: FMA: compliant
ESMA/2012/38825.06.2012
Guidelines on risk measurement and the calculation of global exposure for certain types of structured UCITS

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Implementation: FMA: compliant
ESMA/2012/19723.03.2012
ESMA-Guideline Systems and controls in an automated trading environment for trading platforms investment firms and competent authoritiesESMA/2012/122 (EN)24.02.2012
CESR Guideline on how to report transactions in OTC derivative instruments

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Implementation: FMA: non comply
CESR/10-66108.10.2010
The third set of CESR guidance at level

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Implementation: FMA: compliant
CESR/09-21915.05.2009
The second set of CESR guidance at level 3

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Implementation: FMA: compliant
CESR/06-562b12.07.2007
CESR Level 3 Guideline on MIFID Transaction reporting

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Implementation: FMA: non comply
CESR/07-30129.05.2007
CESR Level 3 Guideline on Publication and Consolidation of MiFID transparency data

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Implementation: FMA: compliant
CESR/07-04301.02.2007
The first set of CESR guidance at level 3

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Implementation: FMA: compliant
CESR/04-505b11.05.2005