Investor Protection and Intermediaries

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2014/598 03/06/2014 Agenda Agenda for open hearing on MiFID II - Investor protection issues View > See more
2014/549 response form 22/05/2014 Reference document Response form to the MiFID II/MiFID Consultation Paper View > See more
2014/548 response form 22/05/2014 Reference document Response form to the MiFID II/MiFID Discussion Paper View > See more
2014/557 22/05/2014 Press release ESMA consults on MiFID reforms View > See more
2014/549 22/05/2014 Consultation paper Consultation Paper on MiFID II/MiFIR View > See more
2014/548 22/05/2014 Consultation paper Discussion Paper on MiFID II/MiFIR View > See more
2013/923 24/04/2014 Report Compliance table - compliance guidelines View > See more
2013/922 24/04/2014 Report Compliance table - suitability guidelines View > See more
2013/606 BG 24/04/2014 Reference document Политики и практики на възнаграждение (Директива за пазарите на финансови инструменти — MiFID) View > See more
2014/334 27/03/2014 Press release ESMA issues good practices for structured retail product governance View > See more
2014/332 27/03/2014 Opinion Structured Retail Products - Good practices for product governance arrangements View > See more
2014/154 SV 07/02/2014 Investor warning Risker med att investera i komplexa produkter View > See more
2014/154 ES 07/02/2014 Investor warning Riesgos de las inversiones en productos complejos View > See more
2014/154 SL 07/02/2014 Investor warning Tveganja, ki jih prinašajo naložbe v kompleksne produkte View > See more
2014/154 SK 07/02/2014 Investor warning Riziká investovania do komplexných produktov View > See more
2014/154 RO 07/02/2014 Investor warning Riscurile investirii în produse complexe View > See more
2014/154 PT 07/02/2014 Investor warning Os riscos de investir em produtos complexos View > See more
2014/154 PL 07/02/2014 Investor warning Zagrożenia związane z inwestowaniem w produkty złożone View > See more
2014/154 MT 07/02/2014 Investor warning Ir-riskji li tinvesti fi prodotti kumplessi View > See more
2014/154 LT 07/02/2014 Investor warning Investavimo į sudėtingus produktus rizika View > See more
2014/154 LV 07/02/2014 Investor warning Ar ieguldījumiem sarežģītos produktos saistītie riski View > See more
2014/154 IT 07/02/2014 Investor warning Rischi dell’investimento in prodotti complessi View > See more
2014/154 HU 07/02/2014 Investor warning Az összetett termékekbe történő befektetések kockázatai View > See more
2014/154 EL 07/02/2014 Investor warning Οι κίνδυνοι των επενδύσεων σε σύνθετα προϊόντα View > See more
2014/154 DE 07/02/2014 Investor warning Risiken bei Anlagen in komplexe Produkte View > See more
2014/154 FR 07/02/2014 Investor warning Risques liés aux investissements dans les produits complexes View > See more
2014/154 FI 07/02/2014 Investor warning Monimutkaisiin tuotteisiin sijoittamisen riskit View > See more
2014/154 ET 07/02/2014 Investor warning Keerukatesse toodetesse investeerimisega kaasnevad riskid View > See more
2014/154 NL 07/02/2014 Investor warning Risico's van beleggen in complexe producten View > See more
2014/154 DA 07/02/2014 Investor warning Risici ved investering i komplekse produkter View > See more
2014/154 CS 07/02/2014 Investor warning Rizika investování do složitých produktů View > See more
2014/154 HR 07/02/2014 Investor warning Rizici ulaganja u kompleksne proizvode View > See more
2014/154 BG 07/02/2014 Investor warning Рискове от инвестиране в комплексни продукти View > See more
2014/152 07/02/2014 Press release ESMA tells firms to improve their selling practices for complex financial products View > See more
2014/154 07/02/2014 Investor warning Risks of investing in complex products View > See more
2014/146 07/02/2014 Opinion MiFID practices for firms selling complex products View > See more
2012/387 HR 06/02/2014 Guidelines and Recommendations Smjernice o određenim aspektima MiFID-ovih zahtjeva vezanih uz primjerenost View > See more
2012/388 HR 06/02/2014 Guidelines and Recommendations Smjernice o određenim aspektima MiFID-ovih zahtjeva vezanih uz funkciju praćenja usklađenosti View > See more
2013/1941 28/01/2014 Letter Letter to Jonathan Faull (EC) regarding draft technical standards View > See more
2013/1940 06/01/2014 Final report Draft technical standards under Article 10a(8) of MiFID on the assessment of acquisitions and increases in qualifying holdings in investment firms View > See more
2013/918 09/07/2013 Consultation paper Draft Regulatory Technical Standards on information requirements for assessment of acquisitions and increases in holdings in investment firms (MiFID) View > See more
2013/726 11/06/2013 Press release ESMA clarifies pay rules applicable to investment firms View > See more
2013/BS/45 10/04/2013 Terms of reference IPISC Terms of Reference View > See more
2013/266 28/02/2013 Press release ESMA and the EBA warn investors about contracts for difference View > See more
2013/267 28/02/2013 Investor warning Contracts for Difference (CFDs) View > See more
2012/850 19/12/2012 Supervisory brief MiFID supervisory briefing - Suitability View > See more
2012/851 19/12/2012 Supervisory brief MiFID supervisory briefing - Appropriateness and execution-only View > See more
2012/818 12/12/2012 Speech Opening statement at the ESMA Investor Day, by Steven Maijoor, Chair of ESMA View > See more
2012/803 04/12/2012 Speech Rebuilding investors trust in EU capital markets - Steven Maijoor, ESMA Chair View > See more
2012/682 19/10/2012 Reference document Guide to investing View > See more
2012/388 SV 28/09/2012 Guidelines and Recommendations Riktlinjer om vissa aspekter av kraven för funktionen för regelefterlevnad enligt MiFID View > See more
2012/388 ES 28/09/2012 Guidelines and Recommendations Directrices acerca de ciertos aspectos de los requisitos del órgano de verificación del cumplimiento de la MiFID View > See more
2012/388 SL 28/09/2012 Guidelines and Recommendations Smernice o določenih vidikih zahtev funkcije skladnosti iz direktive MiFID View > See more
2012/388 SK 28/09/2012 Guidelines and Recommendations Usmernenia o určitých aspektoch požiadaviek MiFID týkajúcich sa vykonávania funkcie dodržiavania (compliance) View > See more
2012/388 RO 28/09/2012 Guidelines and Recommendations Orientări cu privire la anumite aspecte ale cerinţelor MiFID privind funcţia de asigurare a conformităţii View > See more
2012/388 PT 28/09/2012 Guidelines and Recommendations Orientações sobre determinados aspetos dos requisitos associados à função de verificação do cumprimento no quadro da DMIF View > See more
2012/388 PL 28/09/2012 Guidelines and Recommendations Wytyczne w sprawie określonych aspektów wymogów dyrektywy MiFID dotyczących komórki ds. nadzoru zgodności z prawem View > See more
2012/388 MT 28/09/2012 Guidelines and Recommendations Linji gwida dwar ċerti aspetti tar-rekwiżiti tal-funzjoni għall-konformità tal-MiFID View > See more
2012/388 LT 28/09/2012 Guidelines and Recommendations Gairės dėl tam tikrų FPRD atitikties užtikrinimo funkcijai nustatytų reikalavimų aspektų View > See more
2012/388 LV 28/09/2012 Guidelines and Recommendations Pamatnostādnes par noteiktiem FITD darbības atbilstības kontroles funkcijas prasību View > See more
2012/388 FI 28/09/2012 Guidelines and Recommendations Ohjeet compliance - toimintoa koskevista MiFIDin vaatimuksista tietyiltä osin View > See more
2012/388 IT 28/09/2012 Guidelines and Recommendations Orientamenti - su alcuni aspetti dei requisiti della funzione di controllo della conformità di cui alla MiFID View > See more
2012/388 HU 28/09/2012 Guidelines and Recommendations Iránymutatások a megfelelési funkcióra vonatkozó MiFID-követelmények bizonyos szempontjairól View > See more
2012/388 EL 28/09/2012 Guidelines and Recommendations Κατευθυντήριες γραμμές σχετικά με ορισμένες πτυχές των απαιτήσεων της λειτουργίας συμμόρφωσης που προβλέπονται στη MiFID View > See more
2012/388 DE 28/09/2012 Guidelines and Recommendations Leitlinien zu einigen Aspekten der MiFID-Anforderungen an die Compliance-Funktion View > See more
2012/388 FR 28/09/2012 Guidelines and Recommendations Orientations concernant certains aspects de la directive MIF relatifs aux exigences de la fonction de vérification de la conformité View > See more
2012/388 ET 28/09/2012 Guidelines and Recommendations Suunised finantsinstrumentide turgude direktiivis (MiFID) sätestatud vastavuskontrolli funktsiooni käsitlevate nõuete teatud aspektide kohta View > See more
2012/388 NL 28/09/2012 Guidelines and Recommendations Richtsnoeren met betrekking tot bepaalde aspecten van de MiFID-eisen voor de compliancefunctie View > See more
2012/388 DA 28/09/2012 Guidelines and Recommendations Retningslinjer for visse aspekter af kravene til compliancefunktionen ifølge MiFID View > See more
2012/388 CZ 28/09/2012 Guidelines and Recommendations Obecné pokyny k určitým aspektům požadavků směrnice MiFID na funkci compliance View > See more
2012/388 BG 28/09/2012 Guidelines and Recommendations Насоки относно определени аспекти на изискванията на MiFID за годност View > See more
2012/581 17/09/2012 Press release ESMA proposes remuneration guidelines for firms providing investment services View > See more
2012/570 17/09/2012 Consultation paper Guidelines on remuneration policies and practices (MiFID) View > See more
2012/387 SV 21/08/2012 Guidelines and Recommendations Riktlinjer om vissa aspekter av lämplighetskraven i MiFID View > See more
2012/387 ES 21/08/2012 Guidelines and Recommendations Directrices relativas a determinados aspectos de los requisitos de idoneidad de la MiFID View > See more
2012/387 SL 21/08/2012 Guidelines and Recommendations Smernice o nekaterih vidikih zahtev glede primernosti iz direktive MiFID View > See more
2012/387 SK 21/08/2012 Guidelines and Recommendations Usmernenia o určitých aspektoch požiadaviek vhodnosti podľa MiFID View > See more
2012/387 RO 21/08/2012 Guidelines and Recommendations Orientări cu privire la anumite aspecte ale cerinţelor MiFID privind adecvarea View > See more
2012/387 PT 21/08/2012 Guidelines and Recommendations Orientações relativas a determinados aspetos dos requisitos da DMIF em matéria de adequação View > See more
2012/387 PL 21/08/2012 Guidelines and Recommendations Wytyczne w sprawie pewnych aspektów wymogów dyrektywy MiFID dotyczących odpowiedniości View > See more
2012/387 MT 21/08/2012 Guidelines and Recommendations Linji gwida dwar ċerti aspetti tal-valutazzjoni tal-adegwatezza tal-MiFID View > See more
2012/387 LT 21/08/2012 Guidelines and Recommendations Gairės dėl tam tikrų MiFID tinkamumo (suitability) reikalavimų aspektų View > See more
2012/387 LV 21/08/2012 Guidelines and Recommendations Pamatnostādnes par noteiktiem FITD atbilstības noteikšanas prasību aspektiem View > See more
2012/387 IT 21/08/2012 Guidelines and Recommendations Orientamenti su alcuni aspetti dei requisiti di adeguatezza della direttiva MiFID View > See more
2012/387 HU 21/08/2012 Guidelines and Recommendations Iránymutatások a MiFID szerinti alkalmassági követelmények bizonyos szempontjairól View > See more
2012/387 EL 21/08/2012 Guidelines and Recommendations Κατευθυντήριες γραμμές σχετικά με ορισμένες πτυχές των απαιτήσεων καταλληλότητας που προβλέπονται στη MiFID View > See more
2012/387 DE 21/08/2012 Guidelines and Recommendations Leitlinien zu einigen Aspekten der MiFID-Anforderungen an die Eignung View > See more
2012/387 FR 21/08/2012 Guidelines and Recommendations Orientations concernant certains aspects relatifs aux exigences d'adéquation de la directive MIF View > See more
2012/387 FI 21/08/2012 Guidelines and Recommendations Ohjeet rahoitusmarkkinadirektiivin soveltuvuusvaatimusten tietyistä näkökohdista View > See more
2012/387 ET 21/08/2012 Guidelines and Recommendations Finantsinstrumentide turgude direktiivi (MiFID) sobivusnõuete teatud aspektide suunised View > See more
2012/387 NL 21/08/2012 Guidelines and Recommendations Richtsnoeren met betrekking tot bepaalde aspecten van de MiFID-geschiktheidseisen View > See more
2012/387 DA 21/08/2012 Guidelines and Recommendations Retningslinjer for visse aspekter af egnethedskravene ifølge MiFID View > See more
2012/387 CS 21/08/2012 Guidelines and Recommendations Obecné pokyny k určitým aspektům požadavků směrnice MiFID ohledně vhodnosti View > See more
2012/387 BG 21/08/2012 Guidelines and Recommendations Насоки относно определени аспекти на изискванията на MiFID за годност View > See more
ESMA/2012/IPISC 01/08/2012 Other Application form - call for expressions of interest: ESMA's Consultative Working Group on Investor Protection and Intermediaries View > See more
2012/490 01/08/2012 Other Call for expressions of interest in ESMA's Consultative Working Group on Investor Protection and Intermediaries Standing Committee View > See more
2012/424 06/07/2012 Press release ESMA publishes MiFID guidelines to enhance investor protection View > See more
2012/388 06/07/2012 Guidelines and Recommendations Guidelines on certain aspects of the MiFID compliance function requirements View > See more
2012/387 06/07/2012 Guidelines and Recommendations Guidelines on certain aspects of the MiFID suitability requirements View > See more
2012/387 en 06/07/2012 Guidelines and Recommendations Guidelines on certain aspects of the MiFID suitability requirements View > See more
2012/388 EN 06/07/2012 Guidelines and Recommendations Guidelines on certain aspects of the MiFID compliance function requirements View > See more
2012/382 22/06/2012 Q&A MiFID Q&A in the area of investor protection and intermediaries View > See more
2011/446 22/12/2011 Consultation paper Consultation paper on guidelines on certain aspects of the MiFID compliance function requirements View > See more
2011/445 22/12/2011 Consultation paper Consultation paper on guidelines on certain aspects of the MiFID suitability requirements View > See more
2011/119 18/04/2011 Q&A MiFID Q&A in the area of investor protection and intermediaries View > See more
10-1415 19/11/2010 Other Summary of responses from investment firms and execution venues to CESR’s 2009 Best Execution Questionnaire (Sections 1-4) View > See more
10-1045 22/10/2010 Feedback statement Feedback Statement - CESR Technical Advice to the European Commission in the context of the MiFID Review – Client categorisation View > See more
10-1169 13/10/2010 Press release Press release - CESR completes its review of MiFID by issuing advice on OTC derivatives trading, post-trade transparency standards and client categorisation View > See more
10-1254 13/10/2010 Final report Responses to the Commission’s request for additional information in relation to the MiFID Review View > See more
10-1040 13/10/2010 Final report Final Advice - Client Categorisation View > See more
10-918 06/09/2010 Feedback statement Feedback statement - CESR Technical Advice to the European Commission in the context of the MiFID Review –Investor Protection and Intermediaries View > See more
10-859 29/07/2010 Final report CESR Technical Advice to the European Commission in the context of the MiFID Review - Investor Protection and Intermediaries View > See more
10-860 29/07/2010 Final report CESR’s Responses to Questions 15-18 and 20-25 of the European Commission Request for Additional Information in Relation to the Review of MiFID View > See more
10-926 29/07/2010 Press release Press release - CESR proposes changes to MiFID to improve securities markets’ functioning, transparency and investor protection View > See more
10-831 12/07/2010 Consultation paper Consultation paper - CESR Technical Advice to the European Commission in the context of the MiFID Review – Client Categorisation View > See more
10-589 06/05/2010 Q&A Questions and answers on MiFID: Common positions agreed by CESR Members of the Investor Protection and Intermediaries Standing Committee View > See more
10-581 05/05/2010 Agenda Agenda for the open hearing on CESR’s consultation on MiFID Review – Investor Protection and Intermediaries View > See more
10-349 21/04/2010 Other Commission's response to CESR's letter regarding the MiFID review View > See more
10-296 19/04/2010 Feedback statement Feedback statement - Inducements: Good and poor practices View > See more
10-295 19/04/2010 Report Report - Inducements: good and poor practices View > See more
10-294 19/04/2010 Feedback statement Feedback statement - Understanding the definition of advice under MiFID View > See more
10-293 19/04/2010 Q&A Question and Answers - Understanding the definition of advice under MiFID View > See more
10-417 13/04/2010 Consultation paper Consultation paper - CESR technical advice in the context of the MiFID review –Investor Protection and Intermediaries View > See more