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19/12/2014 2014/1570 Consultation paper on MiFID II/MiFIR- part 1 , Consultation Paper PDF
6.55 MB
Who should read this paper? This document will be of interest to all stakeholders involved in the securities markets. It is primarily of interest to competent authorities and firms that are subject to MiFID II and MiFIR – in particular, investment firms, credit institutions performing investment services and activities, data reporting services providers and trading venues. This paper is also important for trade associations and industry bodies, institutional and retail investors and their advisers, and consumer groups, as well as any market participant because the MiFID II and MiFIR requirements seek to implement enhanced provisions to ensure investor protection and the transparency and orderly running of financial markets with potential impacts for anyone engaged in the dealing with or processing of financial instruments. Responding to this paper The European Securities and Markets Authority (ESMA) invites responses to the specific questions listed in the ESMA MiFID II/MiFIR Consultation Paper. Please note that ESMA will only be able to consider responses received using this “form to reply” and complying with the procedure below. a)    InstructionsPlease note that, in order to facilitate analysis of the large number of responses expected, ESMA will be using an IT tool that does not allow processing of responses which do not follow the formatting indications described below. Therefore, in responding stakeholders should:i.    use the published template and send their responses in Word format (pdf documents will not be considered except for annexes); ii.    not remove the tags of type - i.e. the response to one question has to be framed by the 2 tags corresponding to the question; andiii.    if they have no response to a question, not delete it and leave the text “TYPE YOUR TEXT HERE” between the tags. b)    Naming protocolIn order to facilitate the handling of stakeholders responses please save your document using the following format:ESMA_MiFID2_CP_NAMEOFCOMPANY_NAMEOFDOCUMENT: e.g. if the respondent were ESMA, the name of the reply form would be ESMA_MiFID2_CP_ESMA_REPLYFORM or ESMA_MiFID2_CP_ESMA_ANNEX1 c)    Content of the responses Responses are most helpful:i.    if they respond to the question stated;ii.    contain a clear rationale; andiii.    describe any alternatives that ESMA should consider. Given the breadth of issues covered, ESMA expects and encourages respondents to specifically answer those questions relevant to their business, interest and experience. d)    Deadline Responses must reach us by 2 March 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 end of the consultation period, unless otherwise requested. Please clearly indicate by ticking the appropriate checkbox in the website submission form if you do not wish your contribution to be publicly disclosed. A standard confidentiality statement in an email message will not be treated as a request for non-disclosure. Note also that a confidential response may be requested from ESMA in accordance with ESMA’s rules on access to documents. ESMA may consult respondents if ESMA receives such a request. Any decision we make 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 headings ‘Legal notice’ and ‘Data protection’.
17/11/2017 ESMA70-151-819 Consultation paper on position calculation under EMIR Consultation Paper PDF
1.41 MB
05/11/2019 ESMA70-156-1484 Consultation Paper on Position Limits Consultation Paper PDF
549.2 KB
09/11/2017 ESMA70-156-275 Consultation paper on proposed amendment to MiFID II RTS 1 Consultation Paper PDF
454.64 KB
06/05/2020 ESMA70-156-2061 Consultation paper on SME GMs under MiFID II and MAR Consultation Paper PDF
1.08 MB
18/12/2014 2014/1564 Consultation paper on Technical Advice under the CSD Regulation Consultation Paper PDF
488 KB

ESMA invites comments on all matters in this paper and in particular on the specific question included in the paper. Comments are most helpful if they:1.    respond to the question stated;2.    indicate the specific question to which the comment relates;3.    contain a clear rationale; and4.    describe any alternatives ESMA should consider.ESMA will consider all comments received by 19 February 2015. All contributions should be submitted online at www.esma.europa.eu under the heading ‘Your input - Consultations’ using the reply form.

18/12/2014 2014/1563 Consultation paper on Technical Standards under the CSD Regulation Consultation Paper PDF
2.5 MB

ESMA invites comments on all matters in this paper and in particular on the specific question included in the paper. Comments are most helpful if they:1.    respond to the question stated;2.    indicate the specific question to which the comment relates;3.    contain a clear rationale; and4.    describe any alternatives ESMA should consider.ESMA will consider all comments received by 19 February 2015. All contributions should be submitted online at www.esma.europa.eu under the heading ‘Your input - Consultations’ using the reply form.

13/07/2016 2016/1125 Consultation Paper on the clearing obligation for financial counterparties with a limited volume of activity Consultation Paper PDF
738.84 KB
25/09/2020 ESMA70-156-2013 Consultation Paper on the functioning of Organised Trading Facilities , Consultation Paper PDF
673.72 KB
19/06/2017 ESMA70-156-71 Consultation paper trading obligation for derivatives under MiFIR Consultation Paper PDF
1.08 MB
22/12/2014 2014/1570 Annex A Consultation Paper – Annex A- High level cost-benefit-analysis draft technical standards (MiFID/MiFIR) Consultation Paper PDF
2.56 MB
10/11/2016 2016/1562 Consultation Paper- Draft RTS on package orders for which there is a liquid market Consultation Paper PDF
782.55 KB
15/12/2016 2016/1661 Consultation Paper- Draft technical standards on data to be made publicly available by TRs under Article 81 of EMIR Consultation Paper PDF
740.22 KB
20/07/2011 2011/224 Consultation paper- Guidelines on systems and controls in a highly automated trading environment for trading platforms, investment firms and competent authorities Consultation Paper PDF
623.6 KB
26/03/2020 ESMA70-151-2852 Consultation Report PTRR Services- Article 85(3a) of EMIR , Consultation Paper PDF
537.27 KB
24/05/2019 ESMA70-156-864 CP amending ITS on main indices and recognised exchanges under CRR Consultation Paper PDF
1.29 MB
28/05/2019 ESMA70-151-1663 CP on EMIR_2_2_CCP fees Consultation Paper PDF
1.05 MB
24/09/2020 ESMA74-362-773 CP on MiFID II MiFIR review report , , , Consultation Paper PDF
688.1 KB
03/10/2016 2016/1422 CP on RTS specifying the scope of the consolidated tape for non-equity financial instruments Consultation Paper PDF
343.95 KB

This consultation paper (CP) seeks stakeholders’ views on the draft Regulatory Technical Standard (RTS) ESMA is required to draft under Article 65(8)(c) of Directive 2014/65/EU with regard to the consolidated tape for non-equity instruments.

The input from stakeholders will help ESMA in finalising this draft RTS. Respondents to the consultations are encouraged to provide the relevant data to support their arguments or proposals.

Contents

Section 2 introduces the topic. Section 3 addresses the issue of specialisation of the CT, whereas section 4 discusses which trading venues and APAs should be mandatorily included in the CT. Finally, the CP ends with section 5 which discusses the inclusion of new trading venues and APAs to the CT as well as the removal of a trading venue or APA from the CT.

Next Steps

On the basis of the responses to this CP, ESMA will finalise the draft RTS and submit the final report to the European Commission for endorsement. The consultation closes on 5 December.

27/03/2020 ESMA74-362-47 CP on the TS on reporting data quality data access and registration of TRs under EMIR REFIT , , Consultation Paper PDF
2.66 MB