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Type of document
|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|06/07/2012||2012/388 EN||Guidelines on certain aspects of the MiFID compliance function requirements||MiFID - Investor Protection||Guidelines & Recommendations||PDF
|20/06/2012||2012/378||Operation of notifications of MiFID Article 41 suspensions and removals of financial instruments from trading||MiFID - Secondary Markets||Reference||PDF
|This protocol has been created to ensure effective co-operation between Competent Authorities (CAs) with respect to their obligations under Article 41 of MiFID (Suspension and removal of in-struments from trading).The purpose of the notification obligations under Article 41 is to afford investors across all Mem-ber States the same level of protection regardless of where they trade. In order to achieve this outcome, a shared understanding of the different circumstances under which trading may be suspended in different Member States according to their national law and the expected course of action under Article 41 is helpful. To ensure trading is suspended or an instrument is removed from trading in an effective and timely way, an effective communication process is necessary.The protocol will be kept under review in light of practical experience.|
|24/02/2012||2012/122||Guidelines- Systems and controls in an automated trading environment for trading platforms, investment firms and competent authorities||Guidelines and Technical standards, MiFID - Secondary Markets||Guidelines & Recommendations||PDF
ESMA Board of Supervisors (the BoS) has decided on the 26 September 2018 to withdraw the guidelines on “Systems and controls in an automated trading environment for trading platforms, investment firms and competent authorities”. The guidelines were issued by ESMA, in February 2012, to ensure a common, uniform and consistent application of MiFID and MAD. The BoS decision to withdraw the guidelines is based on the subject matter being fully incorporated into MiFID II, MAR, and relevant delegated acts.
|22/12/2011||2011/456||Final report- Guidelines on systems and controls in an automated trading environment for trading platforms, investment firms and competent authorities||MiFID - Secondary Markets||Guidelines & Recommendations||PDF
This is the final report. The guidelines along with the translations are published separately.