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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
15/07/2014 2014/809 Consultation Paper- Draft technical standards on the Market Abuse Regulation (MAR) Consultation Paper PDF
1.64 MB
  ESMA invites comments on all matters in this paper and in particular on the specific questions summarised in Annex 1.Comments are most helpful if they: respond to the question stated; indicate the specific question to which the comment relates; contain a clear rationale; and describe any alternatives ESMA should consider. ESMA will consider all comments received by Wednesday 15 October 2014.All contributions should be submitted online at www.esma.europa.eu under the heading ‘Your input - Consultations’.Publication of responsesAll contributions received will be published following the close of the consultation, 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 protectionInformation on data protection can be found at www.esma.europa.eu under the heading ‘Legal Notice’.Who should read this paper?This paper may be specifically of interest to any investor that deals in financial instruments and emission allowances subject to the Market Abuse Regulation, issuers of instruments in the scope of the Regulation, financial intermediaries, operators of trading venues and participants in the emission allowance market.
28/09/2015 2015-ESMA-1455 Final Report MAR TS Technical Standards PDF
1.77 MB
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 Technical Standards PDF
357.16 KB
24/03/2015 2015/610 Draft guidelines on complex debt instruments and structured deposits Consultation Paper PDF
221.62 KB
Who should read this paper    This paper is primarily of interest to competent authorities and firms that are subject to MiFID, in particular, investment firms and credit institutions performing investment services and activities. This paper is also important for trade associations, investors, and consumer groups, because the guidelines seek to implement enhanced provisions to ensure investor protection with potential impacts for anyone engaged in dealing with or processing of financial instruments. ESMA invites comments on all matters in this paper and in particular on the specific questions summarised in Annex 1. Comments are most helpful if they:•    respond to the question stated;•    indicate the specific question to which the comment relates;•    contain a clear rationale; and•    describe any alternatives ESMA should consider. ESMA will consider all comments received by 15 June 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 consultation, 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.
23/04/2015 2015/753 Draft guidelines for the assessment of knowledge and competence 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.
05/10/2016 2016/1436 Consultation Paper on Draft guidelines on MiFID II product governance requirements Consultation Paper PDF
661.2 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 , Consultation Paper PDF
1.13 MB
28/01/2016 2016/162 Consultation paper- Draft Guidelines on the Market Abuse Regulation , Consultation Paper PDF
406.76 KB
30/03/2016 2016/444 CP on MAR GL on information on commodities Consultation Paper PDF
486.36 KB
17/01/2020 ESMA 33-128-827 Guidelines on securitisation repository data completeness and consistency thresholds Consultation Paper PDF
694.01 KB
30/09/2019 ESMA-35-43-2090 Call for evidence on MiFID II product intervention powers Consultation Paper PDF
197.51 KB
19/12/2017 ESMA33-128-107 Consultation_Paper_Disclosure_and_Operational_Standards Consultation Paper PDF
2.66 MB
19/12/2017 ESMA33-128-108 Consultation_Paper_Third-Party_Firm_STS_Verification_Application Consultation Paper PDF
586.89 KB
23/03/2018 ESMA33-128-109 Consultation Paper Securitisation Repositories Application Consultation Paper PDF
720.24 KB
23/03/2018 ESMA33-128-212 ESMA33-128-212 Consultation Paper TA Fees Securitisation Repositories Consultation Paper PDF
659.97 KB
19/12/2017 ESMA33-128-33 Consultation_Paper_STS notification Consultation Paper PDF
1.01 MB
29/01/2021 ESMA35-36-2159 CP on Guidelines on certain aspects of the MiFID II appropriateness and execution-only requirements Consultation Paper PDF
454.65 KB
19/07/2021 ESMA35-36-2324 CP on Guidelines on certain aspects of the MiFID II remuneration requirements Consultation Paper PDF
624.54 KB
19/12/2018 ESMA35-43-1210 Consulation paper on integrating sustainability risks and factors in MiFID II Consultation Paper
19/12/2018 ESMA35-43-1210 Consultation paper on integrating sustainability risks and factors in MiFID II Consultation Paper PDF
494.66 KB