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ESMA LIBRARY

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Date	Ref.	Title	Section	Type	Download	Info	Summary	Related Documents	Translated versions
04/12/2019	ESMA35-43-349	Q&As on MiFID II and MiFIR investor protection topics	MiFID - Investor Protection, Supervisory convergence	Q&A	PDF 1017.84 KB
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
27/05/2019	ESMA70-145-1145	Consultation paper on Guidelines on periodic information and notification of material changes to be submitted to ESMA by Trades Repositories	Market Integrity, Post Trading	Consultation Paper	PDF 545.53 KB
29/03/2019	ESMA70-145-111	Q&A on the Market Abuse Regulation	Market Abuse, Market Integrity	Q&A	PDF 400.21 KB		The purpose of this document is to promote common supervisory approaches and practices in the application of MAR and its implementing measures. It does this by providing responses to questions posed by the general public and competent authorities in relation to the practical application of the MAR framework The content of this document is aimed at competent authorities to ensure that in their supervisory activities and their actions are converging along the lines of the responses adopted by ESMA and at helping issuers, investors and other market participants by providing clarity on the content of the market abuse rules, rather than creating an extra layer of requirements.
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
09/11/2018	ESMA35-36-1262	Technical Q&As on product intervention measures on CFDs and binary options	MiFID - Investor Protection	Q&A	PDF 147.84 KB
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
07/07/2017	ESMA70-145-127	Consultation paper on the evaluation of the short-selling regulation	Market Integrity, Short Selling	Consultation Paper	PDF 1.46 MB
31/03/2017	ESMA35-36-794	Q&A Relating to the provision of CFDs and other speculative products to retail investors under MiFID	MiFID - Investor Protection	Q&A	PDF 948.76 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
27/05/2016	2016/723	Consultation Paper on ESMA technical advice on Benchmarks Regulation	Market Integrity, Benchmarks	Consultation Paper	PDF 905.26 KB
15/02/2016	2016/288	Discussion Paper Benchmarks Regulation	Market Integrity, Benchmarks	Consultation Paper	PDF 1017.02 KB
28/01/2016	2016/162	Consultation paper- Draft Guidelines on the Market Abuse Regulation	Market Abuse, Market Integrity	Consultation Paper	PDF 406.76 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.
24/03/2015	2015/610	Draft guidelines on complex debt instruments and structured deposits	MiFID - Investor Protection	Consultation Paper	PDF 221.62 KB		Who should read this paper This paper is primarily of interest to competent authorities and firms that are subject to MiFID, in particular, investment firms and credit institutions performing investment services and activities. This paper is also important for trade associations, investors, and consumer groups, because the guidelines seek to implement enhanced provisions to ensure investor protection with potential impacts for anyone engaged in dealing with or processing of financial instruments. ESMA invites comments on all matters in this paper and in particular on the specific questions summarised in Annex 1. Comments are most helpful if they:• respond to the question stated;• indicate the specific question to which the comment relates;• contain a clear rationale; and• describe any alternatives ESMA should consider. ESMA will consider all comments received by 15 June 2015. All contributions should be submitted online at www.esma.europa.eu under the heading ‘Your input - Consultations’. Publication of responses All contributions received will be published following the close of the consultation, unless you request otherwise. Please clearly and prominently indicate in your submission any part you do not wish to be publically disclosed. A standard confidentiality statement in an email message will not be treated as a request for non-disclosure. A confidential response may be requested from us in accordance with ESMA’s rules on access to documents. We may consult you if we receive such a request. Any decision we make not to disclose the response is reviewable by ESMA’s Board of Appeal and the European Ombudsman. Data protection Information on data protection can be found at www.esma.europa.eu under the heading Legal Notice.