ESMA/EBA Guidelines
I. ESMA MMoU
Guidelines on cooperation arrangements and information exchange between competent authorities and between competent authorities and ESMA (.docx)
(applicable in the RS since 27. 3. 2014)
II. Financial Conglomerates Directive (FICOD) Guidelines
Joint Guidelines on the convergence of supervisory practices relating to the consistency of supervisory coordination arrangements for financial conglomerates
(applicable in the RS since 23. 2. 2015)
III. MiFID II/MiFIR Guidelines
Guidelines on certain aspects of the MiFID II suitability requirements
(applicable in RS since 4. 10. 2023)
Guidance on certain aspects of the MIFID II remuneration requirements
(applicable in RS since 4. 10. 2023)
Guidelines on MiFID II product governance requirements
(applicable in RS since 3. 10. 2023)
Guidelines on certain aspects of the MiFID II appropriateness and execution-only requirements (.docx)
(applicable in RS since 28. 5. 2022)
Final Guidelines on the MiFID II/ MiFIR obligations on market data (.docx)
(applicable in RS since 1. 1. 2022)
Guidelines on certain aspects of the MiFID II compliance function requirements (.docx)
(applicable in RS since 6. 6. 2021)
Guidelines on the application of C6 and C7 of Annex I of MiFID II (.docx)
(applicable in RS since 22. 7. 2019)
Guidelines on certain aspects of the MiFID II suitability requirements (.docx)
(applicable in RS since 8. 3. 2019)
MiFID II Supervisory briefing: Appropriateness and execution-only (.docx)
Guidelineson MiFID II product governance requirements (.docx)
(applicable in RS since the enforcement of Directive 2014/65/EU)
Guidelineson the management body of market operators and data reporting services providers (.docx)
(applicable in RS since the enforcement of Directive 2014/65/EU)
Guidelines: Transaction reporting, order record keeping and clock synchronisation under MiFID II (.docx)
(applicable in RS since the enforcement of Directive 2014/65/EU)
Guidelines on cross-selling practices (.docx)
(applicable in the RS since 3. 1. 2018)
Guidelines on complex debt instruments and structured deposits (.docx)
(applicable in RS since 3. 1. 2017 or since the enforcement of Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Directive 2002/92/EC and Directive 2011/61/EU - MiFID II)
Guidelines for the assessment of knowledge and competence (.docx)
(applicable in RS since 3. 1. 2017 or since the enforcement of Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Directive 2002/92/EC and Directive 2011/61/EU - MiFID II)
IV. MiFID I Guidelines
Guidelines on alternative performance measures (.docx)
(applicable in the RS since 3. 7. 2016)
Guidelines on remuneration policies and practices (MiFID) (.docx)
(applicable in the RS since 27. 1. 2014 until 3. 10. 2023)
V. Guidelines on prudential supervision of investment firms
Joint EBA and ESMA Guidelines on common procedures and methodologies for the supervisory review and evaluation process (SREP) under Directive (EU) 2019/2034
(applicable in the RS since 19. 6. 2023)
Guidelines on the benchmarking exercises on remuneration practices and the gender pay gap under Directive (EU) 2019/2034
(applicable in the RS since 29. 12. 2022)
Guidelines on the criteria for the exemption of investment firms from liquidity requirements in accordance with Article 43(4) of Regulation (EU) 2019/2033
(applicable in the RS since 6. 12. 2022)
Guidelines on sound remuneration policies under Directive (EU) 2019/2034 (.docx)
(applicable in the RS since 14. 5. 2022)
Guidelines on internal governance under Directive (EU) 2019/2034 (.docx)
(applicable in the RS since 14. 5. 2022)
VI. EMIR Guidelines
Guidelineson EMIR Anti-Procyclicality Margin Measures for Central Counterparties (.docx)
(applicable in the RS since 6. 7. 2019)
Guidelineson CCP conflict of interest management (.docx)
(applicable in the RS since 22. 6. 2019)
Guidelines and Recommendations regarding the implementation of the CPSS-IOSCO Principles for Financial Market Infrastructures in respect of Central Counterparties (.docx)
(applicable in the RS since 4. 9. 2014)
Guidelines and Recommendations for establishing consistent, efficient and effective assessments of interoperability arrangements (.docx)
(applicable in the RS since 27. 1. 2014)
Guidelines and Recommendations regarding written agreements between members of CCP Colleges (.docx)
(applicable in the RS since 3. 10. 2013)
VII. Short Selling Guidelines
Guidelines on exemption for market making activities and primary market operations under Regulation (EU) 236/2012 of the European Parliament and of the Council on short selling and certain aspects of Credit Default Swaps (.docx)
(applicable in the RS since 3. 6. 2013)
VIII. MAR Guidelines
Information relating to commodity derivatives markets or related spot markets for the purpose of the definition of inside information on commodity derivatives (.docx)
(applicable in the RS since 17. 3. 2017)
Delay in the disclosure of inside information (.docx)
(applicable in the RS since 20. 12. 2016)
Persons receiving market soundings (.docx)
(applicable in the RS since 20. 12. 2016)
IX. Transperency Directive Guidelines
ESMA Guidelines on Alternative Performance Measures (.docx)
(applicable in the RS since 5. 12. 2016)
Guidelines on enforcement of financial information
(applicable in the RS since 28. 12. 2014 except for Guideline 4)
X. UCITS Guidelines
Guidelines on marketing communications under the Regulation on cross-border distribution of funds (.docx)
(applicable in the RS since 2. 2. 2022)
Guidelines on performance fees in UCITS and certain types of AIFs (.docx)
(applicable in the RS since 13. 1. 2021)
Guidelines on liquidity stress testing in UCITS and AIFs (.docx)
(applicable in the RS since 3. 9. 2020)
Supervisory briefing on the supervision of costs of UCITS and AIFs
Guidelines on sound remuneration policies under the UCITS Directive (.docx)
(applicable in the RS since 1. 1. 2017)
Guidelines on ETFs and other UCITS issues (.docx)
(applicable in the RS since 1. 8. 2014)
Gudelines on risk measurement and calculation of global exposure for certain type of structured UCITS (.docx)
(applicable in the RS since 28. 3. 2012)
XI. AIFMD Guidelines
Guidelines on marketing communications under the Regulation on cross-border distribution of funds (.docx)
(applicable in the RS since 2. 2. 2022)
Guidelines on Article 25 of Directive 2011/61/EU (.docx)
(applicable in the RS since 4. 9. 2021)
Guidelines on performance fees in UCITS and certain types of AIFs (.docx)
(applicable in the RS since 13. 1. 2021)
Guidelines on liquidity stress testing in UCITS and AIFs (.docx)
(applicable in the RS since 3. 9. 2020)
Supervisory briefing on the supervision of costs of UCITS and AIFs
Guidelines on reporting obligations under ARticles 3(3)(d) and 24(1), (2) and (4) of the AIFMD (.docx)
(applicable in the RS since 10. 10. 2014)
Guidelines on sound remuneration policies under the AIFMD (.docx)
(applicable in the RS since 22. 7. 2013)
Guidelines amend the Guidelines on sound remuneration policies under the AIFMD (.docx)
Guidelines on key concepts of the AIFMD (.docx)
(applicable in the RS since 13. 3. 2013)
Guidelines on the model MoU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities (.docx)
(applicable in the RS since 29. 11. 2013)
XII. MMF Regulation Guidelines
Guidelines on the reporting to competent authorities under Article 37 of the MMF
(applicable in the RS since 25. 8. 2020)
Guidelines on stress test scenarios under the MMF Regulation
(applicable in the RS since 27. 3. 2023)
XIII. AML Guidelines
Guidelines on policies and controls for the effective management of money laundering and terrorist financing (ML/TF) risks when providing access to financial services
(applicable in the RS since 3. 11. 2023)
Guidelines on the use of Remote Customer Onboarding Solutions under Article 13(1) of Directive (EU) 2015/849
(applicable in the RS since 2. 10. 2023)
Guidelines on policies and procedures in relation to compliance management and the role and responsibilities of the AML/CFT Compliance Officer under Article 8 and Chapter VI of Directive (EU) 2015/849
(applicable in the RS since 1. 12. 2022)
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 under Article 48(10) of Directive (EU) 2015/849 (amending the Joint Guidelines ESAs 2016 72) (.docx)
(applicable in the RS since 4. 6. 2022)
Guidelines on cooperation and information exchange between prudential supervisors, AML/CFT supervisors and financial intelligence units under Directive 2013/36/EU (.docx)
(applicable in the RS since 1. 6. 2022)
Guidelines on customer due diligence and the factors credit and financial institutions should consider when assessing the money laundering and terrorist financing risk associated with individual business relationships and occasional transactions (‘The ML/TF Risk Factors Guidelines’) under Articles 17 and 18(4) of Directive (EU) 2015/849 (.docx)
(applicable in the RS since 25. 9. 2021)
XIV. Prospectus Regulation Guidelines
Guidelines on disclosure requirements under the Prospectus Regulation (.docx)
(applicable in the RS since 22. 5. 2021)
Guidelineson Risk factors under the Prospectus Regulation (.docx)
(applicable in the RS since 30. 11. 2019)
XV. CSDR Regulation Guidelines
Guidelines on Internalised Settlement Reporting under Article 9 of CSDR (.docx)
(applicable in the RS since 29. 6. 2019)
Guidelines on standardised procedures and messaging protocols under Article 6(2) of Regulation (EU) No 909/2014 (.docx)
(applicable in the RS since 2. 6. 2020)
XVI. SFTR Guidelines
Guidelines Reporting under Articles 4 and 12 SFTR (.docx)
(applicable in the RS since 19. 6. 2021)
XVII. EBA Guidelines
EBA Guidelines on ICT and security risk management
(applicable in the RS since 10. 11. 2020)
Guidelines on connected clients under Article 4(1)(39) of Regulation (EU) No 575/2013
(applicable in the RS since 10. 11. 2020)
EBA Guidelines on outsourcing arrangements
(applicable in the RS since 10. 11. 2020)
Recommendation on the use of the Legal Entity Identifier (LEI)
(applicable in the RS since 3. 12. 2016)
Guidelines on the data collection exercise regarding high earners
(applicable in the RS since 3. 12. 2016)
XVIII. Other Guidelines
Guidelines On outsourcing to cloud service providers (.docx)
(applicable in the RS since 31. 7. 2021)
Guidelines on the STS criteria for ABCP securitisation (.docx)
(applicable in the RS since 25. 5. 2019)
Guidelines on the STS criteria for non-ABCP securitisation (.docx)
(applicable in the RS since 25. 5. 2019)
Guidelines on the assessment of the suitability of members of the management body and key function holders (.docx)
(applicable in the RS since 31. 12. 2021)
Joint Guidelines on the prudential assessment of acquisitions andincreases of qualifying holdings in the financial sector (.docx)
(applicable in the RS since 1. 10. 2017)
Joint Committee Final Report on guidelines for complaints-handling for the securities (ESMA) and banking (EBA) sectors (.docx)
(applicable in the RS since 25. 10. 2014)