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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|24/03/2015||2015/610||Draft guidelines on complex debt instruments and structured deposits||MiFID - Investor Protection||Consultation Paper||PDF
|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.|
|23/03/2015||2015/615||Call for interest IPISC-CWG renewal||MiFID - Investor Protection||Reference||PDF
|ESMA is today launching the process to renew the composition of the IPISC CWG. ESMA is therefore calling for expressions of interest from stakeholders. Application procedure, closing date Relevant stakeholders meeting the required selection criteria and wishing to apply for a position on the CWG are invited to submit, in English:. A completed application form (see separate document), and. A detailed curriculum vitae (CV), preferably in the EU CV format. It is optional for applicants to attach a motivation letter (2 pages maximum).. Unclear or incomplete applications will not be considered.. Applications must be submitted by email no later than 23 April 2015 to the following email addresses: IPISC.CWG.email@example.com|
|23/04/2015||2015/753||Draft guidelines for the assessment of knowledge and competence||MiFID - Investor Protection||Consultation Paper||PDF
|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.|
|19/10/2015||2015/MB/56||Management Board decision on engagement of Temporary Agent 2f||Careers||Reference||PDF
|16/11/2016||2016-1573||ESMA response to the Commission Consultation on a potential EU personal pension framework||MiFID - Investor Protection||Reference||PDF
|01/07/2016||2016/1064||RTS 22 Annex II National client identifiers for natural persons to be used in transaction reports||MiFID - Secondary Markets||Reference||PDF
|04/07/2016||2016/1068||Call for expressions of interest for CWG for Secondary Markets Standing Committee (SMSC)||MiFID - Secondary Markets||Reference||PDF
|04/07/2016||2016/1068 APPLICATION FORM||Application form for SMSC CWG||MiFID - Secondary Markets||Reference||DOCX
|18/07/2016||2016/1139||Call for expressions of interest for Commodity Derivatives Task Force (CDTF)||MiFID - Secondary Markets||Reference||PDF
|18/07/2016||2016/1139 APPLICATION FORM||Application form for CDTF CWG||MiFID - Secondary Markets||Reference||DOCX
|20/09/2016||2016/1389||Discussion Paper on the trading obligation for derivatives under MiFIR||MiFID - Secondary Markets||Consultation Paper||PDF
|20/09/2016||2016/1389 RF||Reply Form for the DP on the trading obligation for derivatives under MiFIR||MiFID - Secondary Markets||Reference||DOCX
|03/10/2016||2016/1422||CP on RTS specifying the scope of the consolidated tape for non-equity financial instruments||MiFID - Secondary Markets||Consultation Paper||PDF
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.
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.
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.
|03/10/2016||2016/1422||Reply form to consultation on non-equity tape||MiFID - Secondary Markets||Reference||DOCX
|05/10/2016||2016/1436||Consultation Paper on Draft guidelines on MiFID II product governance requirements||MiFID - Investor Protection||Consultation Paper||PDF
|05/10/2016||2016/1437||Consultation Paper on Guidelines on the management body of market operators and data reporting services providers||MiFID - Secondary Markets||Consultation Paper||PDF
|05/10/2016||2016/1437 RF||Reply Form to CP on Guidelines on the management body of market operators and data reporting services providers||MiFID - Secondary Markets||Reference||DOCX
|06/10/2016||2016/1440||Guidelines on the calibration, publication and reporting of trading halts||MiFID - Secondary Markets||Consultation Paper||PDF
|06/10/2016||2016/1440 reply form||Reply form for Guidelines on the calibration, publication and reporting of trading halts||MiFID - Secondary Markets||Reference||DOCX
|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||Guidelines and Technical standards, MiFID - Investor Protection||Consultation Paper||PDF