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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
20/07/2011 2011/224 Consultation paper- Guidelines on systems and controls in a highly automated trading environment for trading platforms, investment firms and competent authorities Consultation Paper PDF
623.6 KB
14/09/2011 2011/288 Call for evidence- Empty voting , , Consultation Paper PDF
81.13 KB
22/12/2011 2011/445 Consultation paper on guidelines on certain aspects of the MiFID suitability requirements Consultation Paper PDF
355.06 KB
22/12/2011 2011/446 Consultation paper on guidelines on certain aspects of the MiFID compliance function requirements Consultation Paper PDF
393.94 KB
22/12/2011 2011/456 Final report- Guidelines on systems and controls in an automated trading environment for trading platforms, investment firms and competent authorities Guidelines & Recommendations PDF
407 KB

This is the final report. The guidelines along with the translations are published separately.

24/02/2012 2012/122 Guidelines- Systems and controls in an automated trading environment for trading platforms, investment firms and competent authorities , Guidelines & Recommendations PDF
1006.44 KB

ESMA Board of Supervisors (the BoS) has decided on the 26 September 2018 to withdraw the guidelines on “Systems and controls in an automated trading environment for trading platforms, investment firms and competent authorities”. The guidelines were issued by ESMA, in February 2012, to ensure a common, uniform and consistent application of MiFID and MAD. The BoS decision to withdraw the guidelines is based on the subject matter being fully incorporated into MiFID II, MAR, and relevant delegated acts.

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22/03/2012 2012/212 Discussion Paper- An Overview of the Proxy Advisory Industry. Considerations on Possible Policy Options , Consultation Paper PDF
524.85 KB
This Discussion Paper focuses on the development of the proxy advisory industry in Europe, which mainly serves institutional investors such as asset managers, mutual funds and pension funds. Following its fact-finding work in 2011, ESMA recognises the proxy advisory industry within Europe is, or is expected to be, growing in prominence and investors are, or are expected to be, increasingly using proxy advisor services. In this paper ESMA identifies several key issues related to the proxy advisory market which may have an impact on the proper functioning of the voting process. The range of policy options that ESMA will consider, and on which it seeks further input from market participants, consists of four broad areas, including: 1.    No EU-level action at this stage 2.    Encouraging Member States and/or industry to develop standards 3.    Quasi-binding EU-level regulatory instruments 4.    Binding EU-level legislative instruments ESMA will consider these options based on the feedback it receives from market participants, and, if appropriate, will undertake further policy action, either directly or by providing an opinion to the European Commission. The reason to bring up some policy options is due to the fact that proxy advisors are currently not regulated at a pan-European level. Nevertheless, there are relevant European rules that apply to investors (e.g. for UCITS management companies when exercising voting rights). In addition, there are also well-recognised corporate governance standards that apply to issuers at a national level (based on the “comply or explain approach”) and some complements to improve standards of stewardship among investors. All feedback received from this Discussion Paper will be duly considered. ESMA expects to publish a feedback statement in Q4 of 2012 which will summarise the responses received and will state ESMA’s view on whether there is a need for policy action in this area.
07/05/2012 2012/278 Call for evidence on Transaction reporting Consultation Paper PDF
286 KB
This call for evidence seeks to collect interested parties’ views on what elements ESMA should consider in its work on guidelines on harmonised transaction reporting, as well as opinions on what areas of the OTC derivatives guidelines need to be updated. On the basis of responses received to this call for evidence, ESMA will define its further work on guidelines on harmonised transaction reporting and launch a full public consultation.
06/07/2012 2012/387 en Guidelines on certain aspects of the MiFID suitability requirements Guidelines & Recommendations PDF
298.21 KB
06/07/2012 2012/388 EN Guidelines on certain aspects of the MiFID compliance function requirements Guidelines & Recommendations PDF
305.13 KB
06/07/2012 2012/388 Guidelines on certain aspects of the MiFID compliance function requirements Guidelines & Recommendations PDF
442.44 KB
21/08/2012 2012/387 BG Насоки относно определени аспекти на изискванията на MiFID за годност , Guidelines & Recommendations PDF
357.81 KB
21/08/2012 2012/387 CS Obecné pokyny k určitým aspektům požadavků směrnice MiFID ohledně vhodnosti , Guidelines & Recommendations PDF
363.15 KB
21/08/2012 2012/387 DA Retningslinjer for visse aspekter af egnethedskravene ifølge MiFID , Guidelines & Recommendations PDF
341.81 KB
21/08/2012 2012/387 NL Richtsnoeren met betrekking tot bepaalde aspecten van de MiFID-geschiktheidseisen , Guidelines & Recommendations PDF
355.02 KB
21/08/2012 2012/387 ET Finantsinstrumentide turgude direktiivi (MiFID) sobivusnõuete teatud aspektide suunised , Guidelines & Recommendations PDF
328.4 KB
21/08/2012 2012/387 FI Ohjeet rahoitusmarkkinadirektiivin soveltuvuusvaatimusten tietyistä näkökohdista , Guidelines & Recommendations PDF
304.47 KB
21/08/2012 2012/387 FR Orientations concernant certains aspects relatifs aux exigences d'adéquation de la directive MIF , Guidelines & Recommendations PDF
353.32 KB
21/08/2012 2012/387 DE Leitlinien zu einigen Aspekten der MiFID-Anforderungen an die Eignung , Guidelines & Recommendations PDF
355.69 KB
21/08/2012 2012/387 EL Κατευθυντήριες γραμμές σχετικά με ορισμένες πτυχές των απαιτήσεων καταλληλότητας που προβλέπονται στη MiFID , Guidelines & Recommendations PDF
397.87 KB

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