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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|06/04/2021||ESMA74-362-1853||Final report Draft Guidelines On periodic information to be submitted to ESMA by Trade Repositories||Market data, Supervisory convergence, Trade Repositories||Final Report||PDF
|30/03/2021||ESMA74-362-1013||MiFIR review report on the obligations to report transactions and reference data||Market data, MiFID - Investor Protection||Final Report||PDF
|29/03/2021||ESMA35-43-2430 Final Report ESMA’s Technical Advice to the Commi||Technical Advice on the application of administrative and criminal sanctions under MiFID II/MiFIR||MiFID - Investor Protection||Technical Advice||PDF
|28/09/2020||ESMA35-43-2424||Draft technical standards on the provision of investment services and activities in the Union by third-country firms under MiFID II and MiFIR||MiFID - Investor Protection||Final Report||PDF
|05/06/2020||ESMA35-36-1946||Final Report Guidelines on certain aspects of the MiFID II compliance function requirements||Guidelines and Technical standards, MiFID - Investor Protection||Final Report||PDF
|01/04/2020||ESMA35-43-2126||Technical Advice on the impact of the inducements and costs and charges disclosure requirements under MiFID II||MiFID - Investor Protection||Technical Advice||PDF
|31/03/2020||ESMA43-370-103||Final report on TA on EMIR 2.2 CCP fines||CCP Directorate, Credit Rating Agencies, Post Trading, Trade Repositories||Final Report||PDF
|04/02/2020||ESMA35-43-2134||ESMA’s Technical Advice to the Commission on the effects of product intervention measures||MiFID - Investor Protection||Technical Advice||PDF
|07/06/2019||ESMA32-60-474||Draft RTS amending Delegated Regulation (EU) 2018/815 on the updates of the taxonomy to be used for the ESEF||Corporate Disclosure, European Single Electronic Format||Final Report||PDF
|03/05/2019||ESMA35-43-1737||Final report on integrating sustainability risks and factors in the MIFID II||Audit, MiFID - Investor Protection, Sustainable finance||Final Report||PDF
|17/07/2018||ESMA31-62-1002||Final report on draft regulatory technical standards under the Prospectus Regulation||Corporate Disclosure||Final Report||PDF
|28/05/2018||ESMA35-43-869||Guidelines on certain aspects of the MiFID II suitability requirements||MiFID - Investor Protection||Final Report||PDF
|29/11/2017||ESMA42-111-4285||Peer review on certain aspects of the compliance function under Mi-FID I||MiFID - Investor Protection, Supervisory convergence||Final Report||PDF
|02/06/2017||ESMA35-43-620||Final report on guidelines on MiFID II product governance requirements||MiFID - Investor Protection||Final Report||PDF
|07/04/2016||2016/585||Suitability Peer Review- Annex||MiFID - Investor Protection, Supervisory convergence||Final Report||PDF
|07/04/2016||2016/584||Suitability Peer Review- Final Report||MiFID - Investor Protection, Supervisory convergence||Final Report||PDF
|22/12/2015||2015/1861||Final report- Guidelines on cross-selling practices||MiFID - Investor Protection||Final Report||PDF
|17/12/2015||2015/1886||Final report on guidelines for the assessment of knowledge and competence||MiFID - Investor Protection||Final Report||PDF
Reasons for publication
1. Article 25(1) of Directive 2014/65/EU (MiFID II) states that Member States shall require investment firms to ensure and demonstrate to competent authorities on request that natural persons giving investment advice or providing information about financial instruments, investment services or ancillary services to clients on behalf of the investment firm possess the necessary knowledge and competence to fulfil their obligations under Article 24 and Article 25 .
2. The European Securities and Markets Authority is required by Article 25(9) of MiFID II to develop – by 3 January 2016 - guidelines specifying criteria for the assessment of knowledge and competence of investment firms’ personnel. The guidelines will come into effect on 3 January 2017.
3. In accordance with Article 16(2) of the ESMA Regulation, a consultation was launched on 23 April 2015. The Consultation Paper (CP) set out draft ESMA guidelines for the assessment of knowledge and competence of individuals in investment firms providing investment advice or information about financial instruments, investment services or ancillary services to clients on behalf of the investment firm. The consultation period closed on 10 July 2015.
4. ESMA received 80 responses. The answers received on the CP are available on ESMA’s website unless respondents requested otherwise.
5. As provided by Article 16 of the ESMA Regulation, ESMA also sought the advice of the Securities and Markets Stakeholder Group’s (SMSG).
6. This paper contains summaries of responses received and feedback statements provided by ESMA. ESMA recommends that this report should be read together with the CP published on 23 April 2015 to have a complete understanding of the rationale for the guidelines. The final guidelines presented in Annex VI take into account the comments and suggestions raised by respondents.
7. Section II briefly summarises the feedback to the CP and the main responses from ESMA.
8. Section III contains the Annexes: Annex I provides the Summary of questions, Annex II contains the legislative mandate, Annex III reports the cost-benefit analysis, Annex IV reports the Opinion of the Securities and Markets Stakeholder Group, Annex V details the feedback on the CP, Annex VI sets out the final text of the guidelines and Annex VII describes some illustrative examples of the application of certain aspects of the guidelines.
9. The final guidelines in Annex VI will be translated into the official EU languages and published on the ESMA website. The publication of the translations will trigger a two-month period during which National Competent Authorities (NCAs) must notify ESMA whether they comply or intend to comply with the guidelines.
|30/11/2015||2015/1783||Final Report on complex debt instruments and structured deposits||MiFID - Investor Protection||Final Report||PDF
|23/07/2015||2015/1136||EEA prospectus activity in 2014||Prospectus, Corporate Disclosure||Final Report||PDF