ESMA Guidelines

I. ESMA MMoU

Guidelines on cooperation arrangements and information exchange between competent authorities and between competent authorities and ESMA
(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 the application of C6 and C7 of Annex I of MiFID II
(applicable in RS since 22. 7. 2019)

Guidelines on certain aspects of the MiFID II suitability requirements
(applicable in RS since 8. 3. 2019)

     MiFID II Supervisory briefing: Appropriateness and execution-only

Guidelineson MiFID II product governance requirements
(applicable in RS since the enforcement of Directive 2014/65/EU)

Guidelineson the management body of market operators and data reporting services providers
(applicable in RS since 3.1.2017 or since the enforcement of Directive 2014/65/EU)

Guidelines: Transaction reporting, order record keeping and clock synchronisation under MiFID II
(applicable in RS since 3.1.2017 or since the enforcement of Directive 2014/65/EU)

Guidelines on cross-selling practices
(applicable in the RS since 3.1. 2018)

Guidelines on complex debt instruments and structured deposits
(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
(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 certain aspects of the MiFID compliance function requirements
(applicable in the RS since 27.1.2013)

Guidelines on the certain aspects of the MiFID suitability requirements
(applicable in the RS since 20.12.2012)

Guidelines on remuneration policies and practices (MiFID)
(applicable in the RS since 27.1.2014)

Guidelines on alternative performance measures
(applicable in the RS since 3.7.2016)

V. EMIR Guidelines

Guidelineson EMIR Anti-Procyclicality Margin Measures for Central Counterparties
(applicable in the RS since 6. 7. 2019)

Guidelineson CCP conflict of interest management
(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
(applicable in the RS since 4.9.2014)

Guidelines and Recommendations regarding written agreements between members of CCP Colleges
(applicable in the RS since 3.10.2013)

Guidelines and Recommendations for establishing consistent, efficient and effective assessments of interoperability arrangements
(applicable in the RS since 27.1.2014)

VI. 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
(applicable in the RS since 3.6.2013)

VII. MAR Guidelines

Delay in the disclosure of inside information
(applicable in the RS since 20.12.2016)

Persons receiving market soundings
(applicable in the RS since 20.12.2016)

Information relating to commodity derivatives markets or related spot markets for the purpose of the definition of inside information on commodity derivatives
(applicable in the RS since 17.3.2017)

VIII. Transperency Directive Guidelines

ESMA Guidelines on Alternative Performance Measures
(applicable in the RS since 5.12.2016)

Guidelines on enforcement of financial information
(applicable in the RS since 28.12.2014 only for Guidelines no. 1-3, 5-9 and 18)

IX. UCITS Guidelines

Gudelines on risk measurement and calculation of global exposure for certain type of structured UCITS
(applicable in the RS since 28.3.2012)

Guidelines on ETFs and other UCITS issues
(applicable in the RS since 1.8.2014)

Guidelines on sound remuneration policies under the UCITS Directive
(applicable in the RS since 1.1.2017)

X. AIFMD Guidelines

Guidelines on reporting obligations under ARticles 3(3)(d) and 24(1), (2) and (4) of the AIFMD
(applicable in the RS since 10.10.2014)

Guidelines on sound remuneration policies under the AIFMD
(applicable in the RS since 22.7.2013)

Guidelines amend the Guidelines on sound remuneration policies under the AIFMD

Guidelines on key concepts of the AIFMD
(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
(applicable in the RS since 29.11.2013)

 

XI. MMF Regulation Guidelines

Guidelineson stress test scenarios under the MMF Regulation

(applicable in the RS since 5. 5. 2020)

 

XII. AML Guidelines

Joint Guidelines under Articles 17 and 18(4) of Directive (EU) 2015/849 on simplified and enhanced 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
(applicable in the RS since 25.3.2018)

Joint Guidelineson 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
(applicable in the RS since 7.4.2018)

XIII. Prospectus Regulation Guidelines

Guidelineson Risk factors under the Prospectus Regulation
(applicable in the RS since 30. 11. 2019)

XIV. Other Guidelines

 

Guidelines on Internalised Settlement Reporting under Article 9 of CSDR
(applicable in the RS since 29. 6. 2019)

Guidelines on the STS criteria for ABCP securitisation
(applicable in the RS since 25. 5. 2019)

Guidelines on the STS criteria for non-ABCP securitisation
(applicable in the RS since 25. 5. 2019)

Guidelines on stress tests scenarios under the MMF Regulation
(applicable in the RS since 4.8.2018)

Guidelines on the assessment of the suitability ofmembers of the management body andkey function holders
- Annex I – Template for a matrix to assess the collective competence of members of the management body
(applicable in the RS since 30.6.2018)

Joint Guidelines on the prudential assessment of acquisitions andincreases of qualifying holdings in the financial sector
(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
(applicable in the RS since 25.10.2014)



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