ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
24/09/2020 ESMA74-362-773 CP on MiFID II MiFIR review report Benchmarks, MiFID - Secondary Markets, MiFID II: Transparency Calculations and DVC, Post Trading Consultation Paper PDF
688.1 KB
31/07/2020 ESMA35-43-2464 TC Draft joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body and key function holders MiFID - Investor Protection Consultation Paper PDF
744.01 KB
31/07/2020 ESMA35-43-2464 Draft joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body and key function holders MiFID - Investor Protection Consultation Paper PDF
711.12 KB
09/07/2020 ESMA74-362-608 Guidelines on calculation of positions in SFTs by Trade Repositories Securities Financing Transactions, Trade Repositories Consultation Paper PDF
799.81 KB
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
27/03/2020 ESMA74-362-47 CP on the TS on reporting data quality data access and registration of TRs under EMIR REFIT Post Trading, Supervisory convergence, Trade Repositories Consultation Paper PDF
2.66 MB
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
425.6 KB
31/01/2020 ESMA35-43-2131 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 Consultation Paper PDF
1.23 MB
30/09/2019 ESMA-35-43-2090 Call for evidence on MiFID II product intervention powers MiFID - Investor Protection Consultation Paper PDF
197.51 KB
17/07/2019 ESMA35-43-1905 Call for evidence Impact of the inducements and costs and charges disclosure requirements under MiFID II MiFID - Investor Protection Consultation Paper PDF
479.41 KB
15/07/2019 ESMA35-43-2019 Consultation paper on compliance function guidelines MiFID - Investor Protection Consultation Paper PDF
677.15 KB
19/12/2018 ESMA35-43-1210 Consultation paper on integrating sustainability risks and factors in MiFID II MiFID - Investor Protection Consultation Paper PDF
494.66 KB
19/12/2018 ESMA35-43-1210 Consulation paper on integrating sustainability risks and factors in MiFID II MiFID - Investor Protection Consultation Paper
13/07/2018 ESMA31-62-996 Consultation Paper on Guidelines on Risk Factors Corporate Finance Consultation Paper PDF
833.24 KB
13/07/2018 ESMA31-62-962 Consultation Paper on minimum information content for prospectus exemption Corporate Finance Consultation Paper PDF
1.6 MB
18/01/2018 ESMA35-43-904 Call for Evidence – Potential product intervention measures on contracts for differences and binary options to retail clients MiFID - Investor Protection Consultation Paper PDF
306.85 KB
13/07/2017 ESMA35-43-748 Consultation Paper on guidelines on certain aspects of the MiFID II suitability requirements MiFID - Investor Protection Consultation Paper PDF
740.94 KB
28/10/2016 2016/1529 Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body and key function holders Guidelines and Technical standards, MiFID - Investor Protection Consultation Paper PDF
1.13 MB
05/10/2016 2016/1436 Consultation Paper on Draft guidelines on MiFID II product governance requirements MiFID - Investor Protection Consultation Paper PDF
661.2 KB
23/04/2015 2015/753 Draft guidelines for the assessment of knowledge and competence MiFID - Investor Protection Consultation Paper PDF
332.5 KB		 The European Securities and Markets Authority is required by Article 25(9) of MiFID II to develop guidelines specifying criteria for the assessment of knowledge and competence of the investment firm’s personnel giving investment advice or information about financial instruments, investment services or ancillary services to clients on behalf of the investment firm to fulfil their obligations under Article 24 and Article 25.In accordance with Article 16(2) of the ESMA Regulation, this paper sets out, for consultation, draft ESMA guidelines on certain aspects of MiFID II for the assessment of knowledge and competence. ESMA considers that these guidelines will establish a knowledge and competence framework that will set principles for individuals in MiFID firms that give investment advice or information about financial instruments, investment services or ancillary services to clients on behalf of the investment firm.The purpose of these guidelines is to improve investor protection by increasing the knowledge and competence of individuals in investment firms providing services to clients.

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