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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
25/09/2000 00-064c The regulation of Alternative Trading Systems in Europe. A paper for the EU Commission MiFID - Secondary Markets Final Report PDF
84.28 KB		 Alternative Trading Systems (ATS) offer electronic securities trading facilities outside the traditional trading channels. An expert group chaired by Howard Davies, Chairman of the UK FSA, has studied the impact of such systems in depth. The group has prepared a comprehensive report identifying and assessing the benefits and risks associated with the emergence of ATS and analysing the current regulatory treatment of such systems, within Europe and elsewhere. The report proposes both a short term and a long term option for a harmonised regulatory treatment of such systems in Europe.The paper was submitted to the European Commission as FESCO"s contribution to the preparation of the forthcoming Green Paper on possible amendments to the Investment Services Directive. The Green Paper will shortly be published as a basis for consultation with Member States, the financial services industry and other interested parties. However, the FESCO paper noted that, while the Green Paper on the ISD might be the catalyst for a far-reaching review of the regulatory approach to ATS, it would not provide a short-term solution. Accordingly, FESCO proposed that the short-term solution should take the form of a set of additional regulatory requirements for ATS operating as investment firms.FESCO will be working on proposals for what those additional regulatory requirements might be over the next six months, with a view to producing a consultation paper in the first half of 2001. This consultation paper will provide an opportunity for interested parties to comment in detail on the FESCO proposals. If, however, in the meantime interested parties have any specific comments on the possible additional regulatory requirements identified in paragraph 71 of the September paper, they should make these known to the Secretariat of FESCO via the following e-mail address: fdankers@europefesco.org
01/04/2020 ESMA70-156-2287 Technical Advice to the European Commission on weekly position reports under MiFID II MiFID - Secondary Markets, Supervisory convergence Technical Advice PDF
231.84 KB
19/12/2014 2014/1569 Technical Advice to the Commission on MiFID II and MiFIR MiFID - Investor Protection, MiFID - Secondary Markets Technical Advice PDF
2.8 MB		 Reasons for publication The European Securities and Markets Authority (ESMA) received a formal request (mandate) from the European Commission (Commission) on 23 April 2014 to provide technical advice to assist the Commission on the possible content of the delegated acts required by several provisions of Markets in Financial Instruments Directive (MiFID II) and the Markets in Financial Instruments Regulation (MiFIR). The mandate focuses on technical issues which follow from MiFID II and MiFIR and is available on the European Commission website (here). ESMA was required to provide technical advice by no later than six months after the entry into force of MiFID II and MiFIR (2 July 2014). Contents This final report follows the same structure as the Consultation Paper  (CP) published by ESMA on 22 May 2014 which is: (1) Introduction, (2) Investor protection, (3) Transparency, (4) Data publication, (5) Micro-structural issues, (6) Requirements applying on and to trading venues, (7) Commodity derivatives and (8) Portfolio compression. This paper also contains summaries of responses to the CP received by ESMA. The rationale of those items covered already in the CP for which no relevant changes have been introduced, is not developed again in this Final Report. ESMA recommends, therefore, to read this report together with the CP published on 22 May 2014 to have a complete vision of the rationale for ESMA’s technical advice. Next steps Delegated acts should be adopted by the Commission so that they enter into application by 30 months following the entry into force of the Directive and Regulation, taking into account the right of the European Parliament and Council to object to a delegated act within 3 months (which can be extended by a further 3 months).
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
464.68 KB
05/03/2018 ESMA70-145-386 Technical Advice on the evaluation of certain elements of the Short Selling Regulation Short Selling Final Report PDF
1.72 MB
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
337.33 KB
07/04/2016 2016/584 Suitability Peer Review- Final Report MiFID - Investor Protection, Supervisory convergence Final Report PDF
459.35 KB
07/04/2016 2016/585 Suitability Peer Review- Annex MiFID - Investor Protection, Supervisory convergence Final Report PDF
987.81 KB
03/01/2013 2012/875 Report to the European Parliament, the Council and the Commission on the budgetary impli-cations of Regulation (EU) No 236/2012 on short selling and certain aspects of credit default swaps Short Selling Final Report PDF
532.88 KB
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
1.25 MB
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
1004.75 KB
01/04/2020 ESMA70-156-2311 MiFID II Review Report on position limits and position management MiFID - Secondary Markets, Supervisory convergence Final Report PDF
591.78 KB
08/04/2021 ESMA70-156-4225 MiFID II final report on functioning of OTF MiFID - Secondary Markets Final Report PDF
548.44 KB
28/09/2017 ESMA70-154-266 Guidelines on the management body of market operators and data reporting service providers Guidelines and Technical standards, MiFID - Secondary Markets Final Report PDF
546.29 KB
01/02/2013 2013/158 Guidelines on the 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 Short Selling Final Report PDF
501.8 KB
29/03/2021 ESMA70-151-2838 Guidelines on Reporting Under SFTR Securities Financing Transactions Final Report PDF
3.21 MB		 bgcsdadeelesetfifrhrhuitltlvmtnlplptroskslsv
28/05/2018 ESMA35-43-869 Guidelines on certain aspects of the MiFID II suitability requirements MiFID - Investor Protection Final Report PDF
788.12 KB
13/11/2018 ESMA33-128-505 Final Technical Advice Securitisation Repositories Fees Securitisation Technical Advice PDF
570.74 KB
11/06/2019 ESMA70-156-1035 Final report_Call for evidence Periodic Auctions MiFID - Secondary Markets Final Report PDF
798 KB
10/10/2016 2016/1451 Final Report- Guidelines on transaction reporting, order record keeping and clock synchronisation under MiFID II Guidelines and Technical standards, MiFID - Secondary Markets Final Report PDF
388.3 KB

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