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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
20/11/2020 ESMA74-362-837 CP on DRSP fees Post Trading, Supervisory convergence, Trading Consultation Paper PDF
526.22 KB
20/11/2020 ESMA74-362-932 CP on DRSP criteria for derogation Post Trading, Supervisory convergence, Trading Consultation Paper PDF
384.54 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
02/04/2020 ESMA70-151-2823 ESMA Report to the European Commission on Central Clearing Obligations for PSA- No 1 Joint Committee, Post Trading, Supervisory convergence Consultation Paper PDF
309.21 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
26/03/2020 ESMA70-151-2852 Consultation Report PTRR Services- Article 85(3a) of EMIR Post Trading, Supervisory convergence Consultation Paper PDF
537.27 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
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
30/06/2015 2015/1006 Final Report on MiFID II-MiFIR draft technical standards on authorisation, passporting, registration of third country firms and cooperation between competent authorities MiFID - Investor Protection Technical Standards PDF
357.16 KB
08/06/2015 2015/920 Impact of the Best Practice Principles for Providers of Shareholder Voting Research and Analysis Corporate Disclosure, Corporate Governance Consultation Paper PDF
337.08 KB		 Responding to this Call for Evidence ESMA invites comments on all matters in this paper and in particular on the specific questions presented throughout the paper. Comments are most helpful, if they:a.    respond to the question stated;b.    indicate the specific question to which they relate; andc.    contain a clear rationale.  ESMA will consider all comments received by 27 July 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 Call for Evidence, 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.Who should read this Call for Evidence This Call for Evidence will be of relevance to persons and entities participating in the voting chain, particularly proxy advisors, investors, companies listed in Europe, proxy solicitors and consultants.
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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