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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
15/10/2018 ESMA31-62-1114 2017 Report on EEA prospectus activity Final Report PDF
385.45 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.
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
23/02/2022 ESMA91-372-1785 Call for Evidence on CCP Climate Stress Tests Consultation Paper PDF
394.62 KB
30/09/2019 ESMA-35-43-2090 Call for evidence on MiFID II product intervention powers Consultation Paper PDF
197.51 KB
01/10/2021 ESMA35-43-2827 Call for evidence on retail investor protection aspects Consultation Paper PDF
357.05 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
14/09/2011 2011/288 Call for evidence- Empty voting , , Consultation Paper PDF
81.13 KB
19/12/2018 ESMA35-43-1210 Consulation paper on integrating sustainability risks and factors in MiFID II Consultation Paper
24/09/2021 ESMA35-43-2836 Consultation on Review of the MiFID II framework on best execution reports Consultation Paper PDF
452.96 KB
24/08/2021 ESMA74-362-2048 Consultation paper and draft RTS management body DRSPs Consultation Paper PDF
294.51 KB
13/07/2021 ESMA74-362-1893 Consultation Paper Guidelines EMIR REFIT Consultation Paper PDF
3.11 MB
23/10/2020 ESMA70-151-3023 Consultation Paper on Article 15 and 49 EMIR Consultation Paper PDF
581.02 KB
15/07/2019 ESMA35-43-2019 Consultation paper on compliance function guidelines Consultation Paper PDF
677.15 KB
18/11/2021 ESMA70-151-3396 Consultation Paper on draft Guidelines on Methodology to value each contract prior to termination Consultation Paper PDF
424.68 KB
05/10/2016 2016/1436 Consultation Paper on Draft guidelines on MiFID II product governance requirements Consultation Paper PDF
661.2 KB
18/11/2021 ESMA91-372-1495 Consultation Paper on draft Guidelines on the application of the circumstances under which a CCP is deemed to be failing or likely to fail Consultation Paper PDF
394.3 KB
18/11/2021 ESMA70-151-3428 Consultation Paper on draft RTS on Resolution Colleges Consultation Paper PDF
481.64 KB
18/11/2021 ESMA70-151-3239 Consultation Paper on Draft RTS on safeguards for clients and indirect clients (Article 63(2) of the CCPRRR) Consultation Paper PDF
399.21 KB
18/11/2021 ESMA91-372-1469 Consultation Paper on draft RTS on the content of CCP resolution plans Consultation Paper PDF
638.75 KB

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