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MiFID II: Transparency Calculations and DVC X MiFID - Investor Protection X
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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
01/12/2015 JC/2015/079 2015 list of identified Financial Conglomerates , Reference PDF
146.29 KB
26/03/2018 ESMA35-43-1000 Additional information on the agreed product intervention measures relating to contracts for differences and binary options Reference PDF
202.01 KB
01/10/2013 2013/606 DA Aflønningspolitik og-praksis (MiFID) , Guidelines & Recommendations PDF
357.25 KB
02/10/2017 ESMA71-99-608 Annex (Template for the Assessment of Collective Suitability) , Reference XLSX
72.7 KB
31/10/2016 2016/1529 ANNEX Annex I- Template for the assessment of collective suitability , Reference XLSX
54.43 KB
19/12/2014 2014/1569 Annex Annex to Technical Advice on MiFID II and MiFIR- investor protection topics Reference PDF
962.39 KB
07/02/2014 2014/154 LV Ar ieguldījumiem sarežģītos produktos saistītie riski , Investor Warning PDF
435.59 KB
01/10/2013 2013/606 LT Atlyginimų nustatymo politika ir praktika (FPRD) , Guidelines & Recommendations PDF
268.28 KB
01/10/2013 2013/606 LV Atlīdzības politika un prakse (FITD) , Guidelines & Recommendations PDF
339.96 KB
07/02/2014 2014/154 HU Az összetett termékekbe történő befektetések kockázatai , Investor Warning PDF
384.08 KB
19/11/2019 ESMA71-319-154 Banking and the MiFID II review , , Speech PDF
135.75 KB
01/10/2013 2013/606 NL Beloningsbeleid en beloningspraktijken (MiFID) , Guidelines & Recommendations PDF
319.71 KB
25/02/2015 2015/494 Best Execution under MiFID , 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.
27/03/2019 ESMA35-43-1862 BO Renewal Decision 3 Notice Reference PDF
83.42 KB
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19/12/2018 ESMA35-43-1328 Brexit Statement- information to clients , Statement PDF
212.95 KB
28/03/2019 ESMA90-1-83 Brexit Update March 2019 , , , , , Statement PDF
121.13 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
30/09/2019 ESMA-35-43-2090 Call for evidence on MiFID II product intervention powers Consultation Paper PDF
197.51 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
01/08/2012 2012/490 Call for expressions of interest in ESMA's Consultative Working Group on Investor Protection and Intermediaries Standing Committee Reference PDF
130.34 KB
The deadline for responses to this call for interest has been extended two weeks, to 14 September 2012.

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