ESMA/EBA Guidelines and recommendations

• MAR Guidelines. Delay in the disclosure of inside information prudential supervision and interactions with prudential supervision (13.04.2022). European Securities and Markets Authority (ESMA).
• Guidelines on RAM: Information relating to commodity derivatives markets or related spot markets for the purpose of the definition of inside information on commodity derivatives (30.09.2016).
• MAR Guidelines:Persons receiving market soundings (10.11.2016). European Securities Market Authority (ESMA)
• MAR Guidelines: Delay in the disclosure of inside information (20.10.2016). European Securities Market Authority (ESMA)

Cybersecurity

• Guidelines on outsourcing to cloud service providers (18.12.2020). European Securities Market Authority (ESMA)

Investment firms

• Guidelines for institutions and resolution authorities complement the resolvability assessment (Transferability guidelines) to for transfer strategies (27.09.2022) European Banking Authority (EBA).
• Guidelines on the benchmarking exercises on remuneration practices and the gender pay gap under Directive (EU) 2019/2034. (30.06.2022) European Banking Authority (EBA).
• Guidelines on the data collection exercises regarding high earners under Directive 2013/36/EU and under Directive (EU) 2019/2034 (30/06/2022) European Banking Authority (EBA).
• Guidelines on the criteria for the exemption of investment firms of liquidity requirements in accordance with article 43(4) of regulation 2019/2033 (29.07.2022). European Banking Authority (EBA).
• Guidelines on internal governance under Directive (EU) 2019/2034 (22.11.2021). European Banking Authority (EBA).
• Final report on guidelines on sound remuneration policies under Directive (EU) 2019/2034 (22.11.2021). European Banking Authority (EBA)
• Guidelines on the application of C6 and C7 of Annex 1 of MiFID II (05.06.2019). European Securities Market Authority (ESMA)
• Guidelines on certain aspects of the MiFID suitability requirements. (28.05.2018) European Securities Markets Authority (ESMA).

• Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body and key function holders under Directive 2013/36/EU and Directive 2014/65/EU. (26/09/2017) European Banking Authority (EBA) European Securities Market Authority (ESMA).

• Joint Guidelines on the prudential assessment of acquisitions and increases of qualifying holdings in the financial sector. (20.12.2016). Joint Committee of the European Supervisory Authorities.
• Guidelines on the convergence of supervisory practices relating to the consistency of supervisory coordination arrangements for financial conglomerates (22.12.2014). European Banking Authority (EBA)

Issuers and listed companies

• Guidelines on the assessment of the suitability of members of the management body and key function holders under Directive 2013/36/EU and Directive 2014/65/EU. (02.07.2021) European Securities Market Authority (ESMA) and European Banking Authority (EBA).
• Guidelines on enforcement of financial information (23.11.2020). European Securities Market Authority (ESMA)
• Guidelines reporting under articles 4 and 12 SFTR. (29-03-2021) European Securities Market Authority (ESMA).
• Guidelines on disclosure requirements under the prsopecus regulation. (04.03.2021). European Securities Market Authority (ESMA).
• Guidelines on Risk factors under the Prospectus Regulation. (05.10.2015). European Securities Market Authority (ESMA)
• Alternative performance measures guidelines-ESMA (05.10.2015) European Securities Market Authority (ESMA)
• Guidelines on enforcement of financial information (28.10.2014). European Securities Market Authority (ESMA)

Market infrastructures

• Guidelines on CCP recovery plan indicators (Article 9(5) CCPRRR) (31.01.2022) European Securities Market Authority (ESMA).
• Guidelines  on CCP recovery plan scenarios (Article 9(12) of CCPRRR) (31.01.2022) European Securities Market Authority (ESMA).
• Guidelines on standard forms, formats and templates to apply for permission to operate a DLT market infrastructure (08.03.2023) European Securities Markets Authority (ESMA).
• Guidelines on common procedures and methodologies on supervisory review and evaluation process of CCPs under Article 21 of EMIR (10/03/2022)
• Guidelines on settlement fails reporting under Article 7 of CSDR. (08.12.2021). European Securities and Markets Authority (ESMA).
• Guidelines on written agreements between members of CCP colleges. (01.07.2021) European Securities Markets Authority (ESMA).
• Guidelines on standardised procedures and messaging protocols under Article 6(2) of Regulation (EU) No 909/2014. (08.10.2019) European Securities Market Authority (ESMA).
• Guidelines on EMIR Anti-Procyclicality Margin Measures for Central Counterparties (15.04.2019). European Securities Market Authority (ESMA)
• Guidelines on CCP conflict of interest management (05.04.2019). European Securities Market Authority (ESMA)
• Guidelines on Internalised Settlement Reporting under Article 9 of CSDR (30.04.2019). European Securities Market Authority (ESMA)

• Guidelines on the process for the calculation of the Indicators to Determine the Most Relevant Currencies in which Settlement Takes Place (05.05.2017). European Securities Markets Authority (ESMA).

• Guidelines on the process for the calculation of the Indicators to Determine the Substantial Importance of a CSD for a Host Member State (01.06.2017)  European Securities Markets Authority (ESMA).

• Guidelines for the cooperation between authorities under Articles 17 and 23 of Regulation (EU) No 909/2014. (11.07.2017) European Securities Markets Authority (ESMA).

• Guidelines on access by a CSD to the transaction feeds of CCPs and trading venues (08/06/2017).
• Guidelines on CSD participants default rules and procedures (08/06/2017).
• Guidelines and Recommendations regarding the implementation of the CPSS-IOSCO Principles for Financial Market Infrastructures in respect of Central Counterparties. (04.09.2014) European Securities Market Authority (ESMA)
• Guidelines and Recommendations regarding written agreements between members of CCP colleges (03.10.2013) European Securities Market Authority (ESMA)
• Guidelines and Recommendations for establishing consistent, efficient and effective assessments of interoperability arrangements (10.06.2013). European Securities Market Authority (ESMA)

Automated trading systems (ATS)

• Systems and controls in an automated trading environment for trading platforms, investment firms and competent authorities (24.02.2012). European Securities Market Authority (ESMA)

Collective investments in transferable securities

• Guidelines on stress tests scenarios under Article 28 of the MMF Regulation (21.03.2018) European Securities Market Authority (ESMA).
• Guidelines on stress test scenarios under the MMF Regulation. (04.05.2022) European Securities Markets Authority
• Guidelines on marketing communications under the Regulation on cross-border distribution of funds (02.08.2021). European Securities Market Authority (ESMA)
• Guidelines on article 25 of Directive 2011/61/EU (23.06.2021). European Securities Market Authority (ESMA)
• Guidelines on stress tests scenarios under Article 28 of the MMF Regulation (21.03.2018) European Securities Market Authority (ESMA)
• Guidelines on performance fees in UCITS and certain types of AIFs. (03.04.2020). European Securities Markets Authority (ESMA).
• Guidelines on liquidity stress testing in UCITS and AIFs. (16.07.2020). European Securities Market Authority (ESMA)
• Guidelines on the reporting to competent authorities under Article 37 of the MMF Regulation. (22.06.2020) European Securities Market Authority (ESMA).
• Recommendation of the European Systemic Risk Board of 6 May 2020 on liquidity risks in investment funds (ESRB/2020/4).
• Guidelines on stress test scenarios under article 28 of the MMF Regulation. (Calibration update 2019) (03.03.2020) European Securities Market Authority.

• Guidelines on stress tests scenarios under Article 28 of the MMF Regulation. (21.03.2017). European Securities Market Authority (ESMA).

• Guidelines on sound remuneration policies under the UCITS Directive (14.10.2016)
• Guidelines on cross selling practices (11.07.2016). "This guide will apply from the 3rd of January 2018". European Securities Market Authority (ESMA)
• Guidelines on reporting obligations under Articles 3(3)(d) and 24(1), (2) and (4) of the AIFMD IFMD. (08.08.2014). European Securities Market Authority (ESMA)
• Guidelines for competent authorities and UCITS management companies: Guidelines on ETFs and other UCITS issues (01.08.2014). European Securities Market Authority (ESMA)
• Guidelines on the model MoU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities (18.07.2013). European Securities Market Authority (ESMA)
• Guidelines on key concepts of the AIFMD (24.05.2013). European Securities Market Authority (ESMA)
• Guidelines on sound remuneration policies under the AIFMD (14.10.2016). Guidelines on sound remuneration policies under the AIFMD (11.02.2013). European Securities Market Authority (ESMA)
• Guidelines for competent authorities and UCITS management companies (18.12.2012). European Securities Market Authority (ESMA)
• Guidelines to competent authorities and UCITS management companies on risk measurement and the calculation of global exposure for certain types of structured UCITS (14.04.2011). European Securities Market Authority (ESMA)

MiFID

• Guidelines on certain aspects of the MiFID II suitability requirements (03.04.2023). European Securities and Markets Authority (ESMA)
• Guidelines on certanis aspects of the MIFID II remuneration requirements (03.04.2023). European Securities and Markets Authority (ESMA)
• Guidelines on certain aspects of the MiFID II appropriateness and execution requirements only requirements (12.04.2022). European Securities Markets Authority (ESMA)
• Guidelines on the MiFID II/ MiFIR obligations on market data (18.08.2021). European Securities Market Authority (ESMA)
• Guidelines on certain aspects of the MiFID II compliance function requirements (06.04.2021). European Securities and Market Authority (ESMA).
• Guidelines on the application of C6 and C7 of Annex 1 of MiFID II (05.06.2019). European Securities Market Authority (ESMA)

• Guidelines on MiFID II product governance requirements. (02.06.2017) European Securitites and Markets Authority (ESMA).

• Guidelines on transaction reporting, order record keeping and clock synchronisation under MiFID II. (10.10.2016 corrected on 07.08.17) European Securities Market Authority (ESMA)
• Guidelines on the calibration of circuit breakers and publication of trading halts under MiFID II. (06.04.2017). European Securities and Markets Authority (ESMA).
• Guidelines on cross selling practices (11.07.2016). European Securities Market Authority (ESMA)
• Guidelines for the assessment of knowledge and competence (17.12.2015). European Securities Market Authority (ESMA)
• Guidelines on complex debt instruments and structured deposits (04.02.2016). European Securities Market Authority (ESMA)
• Guidelines on remuneration policies and practices (MiFID)(11.06.2013). European Securities Market Authority (ESMA)
• Guidelines on certain aspects of the MiFID compliance function requirements (28.09.2012). European Securities Market Authority (ESMA)
• Guidelines on certain aspects of the MiFID suitability requirements (06.06.2012). European Securities Market Authority (ESMA)

Resolution of investment firms

• Guidelines secrecy on the equivalence of confidentiality regimes of thirdcountry authorities and professional. (03/05/2022). European Banking Authority (EBA)
• Final Repor t Guidelines on improving resolvability for institutions and resolution authorities under articles 15 and 16 BRRD (13.01.2022). European Banking Authority (EBA).
• Guidelines on the interpretation of the different circumstances when an institution shall be considered as failing or likely to fail under Article 32(6) of Directive 2014/59/EU. (06.08.2015) European Banking Authority (EBA)
• Guidelines on the provision of information in summary or collective form for the purposes of Article 84(3) of Directive 2014/59/EU (19.04.2016) European Banking Authority (EBA).
• Guidelines on on the minimum criteria to be fulfilled by a business reorganisation plan (19.05.2016) (19.05.2016). European Banking Authority (EBA)
• Guidelines on the application of simplified obligations under Article 4(5) of Directive 2014/59/EU (16.10.2015) European Banking Authority (EBA).
• Guidelines on the specification of measures to reduce or remove impediments to resolvability and the circumstances in which each measure may be applied under Directive 2014/59/EU (19.12.2014) European Banking Authority (EBA)

Short selling

• Exemption 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 (02.04.2013). European Securities Market Authority (ESMA)