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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
25/02/2015 2015/494 Best Execution under MiFID MiFID - Investor Protection, Supervisory convergence Final Report PDF
761.62 KB		 The European Securities and Markets Authority (ESMA) has conducted a peer review on how national regulators (national competent authorities or NCAs) supervise and enforce the MiFID provisions relating to investment firms’ obligation to provide best execution, or obtain the best possible result, for their clients when executing their orders. ESMA found that the level of implementation of best execution provisions, as well as the level of convergence of supervisory practices by NCAs, is relatively low. In order to address this situation a number of improvements were identified, including: • prioritisation of best execution as a key conduct of business supervisory issue; • the allocation of sufficient resources to best execution supervision; and • a more proactive supervisory approach to monitoring compliance with best execution requirements, both desk-based and onsite inspections. The review was conducted on the basis of information provided by 29 NCAs and complemented by on-site visits to the NCAs of France, Liechtenstein, Luxembourg, Malta, Poland and Spain.
11/02/2020 ESMA35-43-1076 Compliance table for Guidelines on MiFID II product governance requirements (ESMA35-43-620) Guidelines and Technical standards, MiFID - Investor Protection Compliance table PDF
157.54 KB
17/12/2021 ESMA35-43-1215 Compliance table for Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body Guidelines and Technical standards, Joint Committee, MiFID - Investor Protection Compliance table PDF
302.18 KB
04/12/2019 ESMA70-21038340-46 Compliance table for the Guidelines on market making activities under the Short Selling Regulation Guidelines and Technical standards, Market Integrity, Short Selling Compliance table PDF
267.48 KB
19/01/2022 ESMA35-43-2517 Compliance table on Guidelines on certain aspects of the MiFID II compliance function (ESMA35-36-1952) Guidelines and Technical standards, MiFID - Investor Protection Compliance table PDF
140.42 KB
29/10/2021 ESMA35-43-1430 Compliance table on Guidelines on MiFID II suitability requirements Guidelines and Technical standards, MiFID - Investor Protection Compliance table PDF
145.3 KB
24/04/2014 2013/923 Compliance table- compliance guidelines Guidelines and Technical standards, MiFID - Investor Protection Compliance table PDF
100.87 KB
01/02/2022 ESMA35-43-2183 Compliance table- Guidelines for the assessment of knowledge and competence (ESMA/2015/1886) Guidelines and Technical standards, MiFID - Investor Protection Compliance table PDF
161.56 KB
01/10/2021 ESMA35-43-1957 Compliance table- Guidelines on complex debt instruments and structured deposits (ESMA/2015/1787) Guidelines and Technical standards, MiFID - Investor Protection Compliance table PDF
163.99 KB
01/02/2022 ESMA35-43-1968 Compliance table- Guidelines on cross-selling practices (ESMA/2016/574) Guidelines and Technical standards, MiFID - Investor Protection Compliance table PDF
159.78 KB
04/02/2019 ESMA70-145-153 Compliance table- MAR Guidelines on information relating to commodity derivatives markets or related spot markets for the purpose of the definition of inside information on commodity derivatives Guidelines and Technical standards, Market Abuse, Market Integrity Compliance table PDF
179.29 KB
24/04/2014 2013/922 Compliance table- suitability guidelines MiFID - Investor Protection, Guidelines and Technical standards Compliance table PDF
74.33 KB
07/06/2019 ESMA32-60-474 Draft RTS amending Delegated Regulation (EU) 2018/815 on the updates of the taxonomy to be used for the ESEF Corporate Disclosure, European Single Electronic Format Final Report PDF
6.5 MB
28/09/2020 ESMA35-43-2424 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 Final Report PDF
1.23 MB
10/11/2021 ESMA35-42-1183 Draft technical standards under the European crowdfunding service providers for business Regulation Crowdfunding, MiFID - Investor Protection Final Report PDF
1.43 MB
20/04/2012 2012/236 ESMA's Technical Advice on possible delegated acts of the short-selling and certain aspects of CDS Short Selling, Market Integrity Technical Advice PDF
509.39 KB
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
26/07/2016 2016/1171 Final Report Draft Implementing Technical Standards on sanctions and measures under MAR Market Abuse, Market Integrity Final Report PDF
929.78 KB
31/05/2021 ESMA32-60-727 Final Report draft RTS amending RTS on ESEF 2021 Corporate Disclosure, European Single Electronic Format Final Report PDF
9.47 MB
05/06/2020 ESMA35-36-1946 Final Report Guidelines on certain aspects of the MiFID II compliance function requirements Guidelines and Technical standards, MiFID - Investor Protection Final Report PDF
395.33 KB

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