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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
03/06/2005 05-365 MAD AMPs- Frequently Asked Questions CESR Archive Q&A PDF
55.99 KB
29/05/2007 07-320 Q&A on Best Execution CESR Archive Q&A PDF
578.51 KB
03/11/2009 09-559 Questions and Answers- MiFID complex and non complex financial instruments for the purposes of the Directive’s appropriateness requirements CESR Archive Q&A PDF
405.18 KB
08/03/2010 10-222 FAQ regarding the EU Regulation Credit Rating Agencies: Common positions agreed by CESR Members CESR Archive Q&A PDF
327.78 KB
19/04/2010 10-293 Question and Answers- Understanding the definition of advice under MiFID CESR Archive Q&A PDF
335.78 KB
09/06/2010 10-333 Technical Advice- The Equivalence between the Japanese Regulatory and Supervisory Framework and the EU Regulatory Regime for Credit Rating Agencies CESR Archive, Credit Rating Agencies Technical Advice PDF
4.59 MB
04/06/2010 10-521 FAQ regarding the EU regulation on Credit Rating Agencies: Common positions agreed by CESR Members CESR Archive Q&A PDF
206.24 KB
06/05/2010 10-591 Questions and answers on MiFID: Common positions agreed by CESR Members in the area of the Secondary Markets Standing Committee CESR Archive Q&A PDF
130.84 KB
04/10/2011 2011/323 Final report- ESMA's technical advice on possible delegated acts concerning the Prospectus Directive as amended by the Directive 2010/73/EU Prospectus, Corporate Disclosure Technical Advice PDF
797.56 KB
01/03/2012 2012/137 ESMA’s technical advice on possible delegated acts concerning the Prospectus Directive as amended by the Directive 2010/73/EU Prospectus, Corporate Disclosure Technical Advice PDF
1.32 MB		 ESMA publishes today the second part of its final advice (ESMA/2012/137) on possible delegated acts for the Prospectus Directive (PD).  The advice was submitted to the Commission on 29 February 2012.  In its advice, ESMA proposes how to use a prospectus in a retail cascade and provides input on how to review the provisions of the Prospectus Regulation concerning tax information, indices, auditor’s report on profit forecasts and estimates and audited historical financial information. Today’s advice follows a public consultation started on 13 December 2011. Overall, the technical advice aims to achieve a high level of investor protection and to increase across Europe the legal clarity and efficiency of the prospectus regime. Investment prospectuses as such are aimed to provide investors with easily accessible information on financial products so as to foster in-formed decision-making.
22/06/2012 2012/382 MiFID Q&A in the area of investor protection and intermediaries MiFID - Investor Protection Q&A PDF
319.78 KB
09/01/2013 2012/864 ESMA’s technical advice on possible delegated acts concerning the Prospectus Directive as amended by the Directive 2010/73/EU Prospectus, Corporate Disclosure Technical Advice PDF
1.23 MB
24/04/2014 2013/922 Compliance table- suitability guidelines MiFID - Investor Protection, Guidelines and Technical standards Compliance table PDF
74.33 KB
24/04/2014 2013/923 Compliance table- compliance guidelines Guidelines and Technical standards, MiFID - Investor Protection Compliance table PDF
100.87 KB
07/10/2014 2014-1213 Guidelines compliance table for Guidelines on remuneration policies and practices (MiFID) MiFID - Investor Protection Compliance table PDF
122.41 KB
19/12/2014 2014/1569 Technical Advice to the Commission on MiFID II and MiFIR MiFID - Investor Protection, MiFID - Secondary Markets Technical Advice PDF
2.8 MB		 Reasons for publication The European Securities and Markets Authority (ESMA) received a formal request (mandate) from the European Commission (Commission) on 23 April 2014 to provide technical advice to assist the Commission on the possible content of the delegated acts required by several provisions of Markets in Financial Instruments Directive (MiFID II) and the Markets in Financial Instruments Regulation (MiFIR). The mandate focuses on technical issues which follow from MiFID II and MiFIR and is available on the European Commission website (here). ESMA was required to provide technical advice by no later than six months after the entry into force of MiFID II and MiFIR (2 July 2014). Contents This final report follows the same structure as the Consultation Paper  (CP) published by ESMA on 22 May 2014 which is: (1) Introduction, (2) Investor protection, (3) Transparency, (4) Data publication, (5) Micro-structural issues, (6) Requirements applying on and to trading venues, (7) Commodity derivatives and (8) Portfolio compression. This paper also contains summaries of responses to the CP received by ESMA. The rationale of those items covered already in the CP for which no relevant changes have been introduced, is not developed again in this Final Report. ESMA recommends, therefore, to read this report together with the CP published on 22 May 2014 to have a complete vision of the rationale for ESMA’s technical advice. Next steps Delegated acts should be adopted by the Commission so that they enter into application by 30 months following the entry into force of the Directive and Regulation, taking into account the right of the European Parliament and Council to object to a delegated act within 3 months (which can be extended by a further 3 months).
27/07/2021 ESMA31-62-1258 Q&As on the Prospectus Regulation Prospectus Q&A PDF
814.87 KB
01/07/2021 ESMA31-62-1409 Compliance table GLs on Risk factors Prospectus Compliance table PDF
131.48 KB
11/04/2019 ESMA31-62-780 Q&A on Prospectus Related Topics Brexit, Corporate Disclosure, Corporate Finance, Corporate Governance, Corporate Information, Prospectus, Supervisory convergence Q&A PDF
957.9 KB
09/11/2020 ESMA31-67-127 Question and answers on Transparency Directive (TD) Brexit, Corporate Disclosure, Corporate Finance, Supervisory convergence, Transparency Q&A PDF
352.79 KB

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