ESMA LIBRARY

The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
36
DOCUMENTS

REFINE YOUR SEARCH

Sections

Type of document

Your filters
MiFID - Investor Protection X Securitisation X Prospectus X Consultation Paper X
Reset all filters
Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
30/09/2019 ESMA-35-43-2090 Call for evidence on MiFID II product intervention powers 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 Consultation Paper PDF
479.41 KB
15/07/2019 ESMA35-43-2019 Consultation paper on compliance function guidelines Consultation Paper PDF
677.15 KB
12/07/2019 ESMA31-62-1239 Consultation Paper on Guidelines on prospectus disclosure Consultation Paper PDF
617.89 KB
19/12/2018 ESMA35-43-1210 Consultation paper on integrating sustainability risks and factors in MiFID II Consultation Paper PDF
494.66 KB
19/12/2018 ESMA35-43-1210 Consulation paper on integrating sustainability risks and factors in MiFID II Consultation Paper
23/03/2018 ESMA33-128-212 ESMA33-128-212 Consultation Paper TA Fees Securitisation Repositories Consultation Paper PDF
659.97 KB
23/03/2018 ESMA33-128-109 Consultation Paper Securitisation Repositories Application Consultation Paper PDF
720.24 KB
18/01/2018 ESMA35-43-904 Call for Evidence – Potential product intervention measures on contracts for differences and binary options to retail clients Consultation Paper PDF
306.85 KB
19/12/2017 ESMA33-128-108 Consultation_Paper_Third-Party_Firm_STS_Verification_Application Consultation Paper PDF
586.89 KB
19/12/2017 ESMA33-128-107 Consultation_Paper_Disclosure_and_Operational_Standards Consultation Paper PDF
2.66 MB
19/12/2017 ESMA33-128-33 Consultation_Paper_STS notification Consultation Paper PDF
1.01 MB
15/12/2017 ESMA31-62-802 Consultation Paper on draft RTS under the new Prospectus Regulation Consultation Paper PDF
1.45 MB
13/07/2017 ESMA35-43-748 Consultation Paper on guidelines on certain aspects of the MiFID II suitability requirements Consultation Paper PDF
740.94 KB
06/07/2017 ESMA31-62-532 Draft technical advice on format and content of the prospectus Consultation Paper PDF
2.81 MB
06/07/2017 ESMA31-62-649 Draft technical advice on content and format of the EU Growth prospectus Consultation Paper PDF
1.38 MB
06/07/2017 ESMA31-62-650 Draft technical advice on scrutiny and approval of the prospectus Consultation Paper PDF
1.09 MB
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 , Consultation Paper PDF
1.13 MB
05/10/2016 2016/1436 Consultation Paper on Draft guidelines on MiFID II product governance requirements Consultation Paper PDF
661.2 KB
23/04/2015 2015/753 Draft guidelines for the assessment of knowledge and competence 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.