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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|28/09/2015||2015/1469||2015-1469- Investment Firms briefing||MiFID - Secondary Markets, Press Releases||Reference||PDF
|28/09/2015||2015/1470||2015-1470- Non-financials briefing||MiFID - Secondary Markets, Press Releases||Reference||PDF
|17/11/2015||2015/1514||Note on MiFID-MiFIR implementation delays||MiFID - Investor Protection, MiFID - Secondary Markets||Reference||PDF
|01/12/2015||JC/2015/079||2015 list of identified Financial Conglomerates||Joint Committee, MiFID - Investor Protection||Reference||PDF
|22/12/2015||2015/1872||Press Release Cross Selling Guidelines||MiFID - Investor Protection||Press Release||PDF
The European Securities and Markets Authority (ESMA) has published its Guidelines on Cross-Selling Practices under MiFID II (guidelines) to ensure investors are treated fairly when an investment firm offers two or more financial products or services as part of a package.
The guidelines include principles on:
The European Supervisory Authorities (ESAs) – EBA, EIOPA and ESMA - initially intended to issue joint guidelines covering all cross-selling practices taking place in the banking, insurance and securities sectors given that cross-selling is often cross-sectoral, and had consulted the stakeholders previously on this basis.
However, in light of legal concerns, the ESAs decided not to issue joint guidelines on cross-selling practices but agreed that ESMA should issue ESMA-only guidelines under MiFID II in order to meet its 3 January 2016 deadline.
While ESMA’s guidelines take into account the results of the ESAs’ joint consultation, the final report focuses on the feedback regarding cross-selling practices under MIFID II. Further, the guidelines are addressed to national regulators supervising the firms which provide MiFID services, when they engage in cross-selling practices.
The ESAs intend to inform the European Commission about the issues encountered and raise the possibility of legislative change to provide a foundation for future joint guidelines.
The guidelines will apply from 3 January 2017.
|23/12/2015||2015/1909R||form_to_reply_cp_tr_ork_cs||MiFID - Secondary Markets||Reference||DOCX
|23/12/2015||2015/1911||Annex III- Draft ISO 20022 message specification||MiFID - Secondary Markets||Reference||ZIP
|01/02/2016||2016/200||MiFID registers- information about web service||Short Selling, MiFID - Secondary Markets||Reference||PDF
This document sets out the web service for the following registers:
Shares admitted to trading on regulation markets
Multilateral trading facilities
|09/02/2016||2016/272AF||2016_mdsc_cwg_application_form||MiFID - Secondary Markets||Reference||DOCX
|09/02/2016||2016/272||Call for expression of interest- CWG renewal||MiFID - Secondary Markets||Reference||PDF
|10/02/2016||2015-1475rev||2016 Work Programme||Planning reporting budget||Reference||PDF
|10/02/2016||2016-202||2016 Regulatory Work Programme||Planning reporting budget||Reference||PDF
|11/02/2016||2016/210||ToR CDTF||MiFID - Secondary Markets||Reference||PDF
|03/03/2016||2016/342||ESMA budget for 2016||Planning reporting budget||Reference||PDF
|03/03/2016||Mifid mapping||Mapping- fields in MiFID systems||MiFID - Secondary Markets||Reference||XLSX
This document provides a mapping of the fields between the old MiFID database http://mifiddatabase.esma.europa.eu/ and the lists available on the Registers portal http://registers.esma.europa.eu/publication/
|04/04/2016||2016/221||ToR MDSC||MiFID - Secondary Markets||Reference||PDF
|04/04/2016||2016/225||ToR IPISC||MiFID - Investor Protection||Reference||PDF
|04/04/2016||2016/227||ToR SMSC||MiFID - Secondary Markets||Reference||PDF
|04/04/2016||2016/566||ESMA not to exempt ETD under MiFID II||Press Releases, MiFID - Secondary Markets||Press Release||PDF
|07/04/2016||2016/582||ESMA finds room for improvement in national supervision of investment advice to retail clients||MiFID - Investor Protection, Press Releases, Supervisory convergence||Press Release||PDF