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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|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
|10/10/2016||2016/1451||Final Report- Guidelines on transaction reporting, order record keeping and clock synchronisation under MiFID II||Guidelines and Technical standards, MiFID - Secondary Markets||Final Report||PDF
|13/10/2016||2016-IFRS||IFRS Foundation and ESMA statement of protocols for cooperation on International Financial Reporting Standards||Corporate Information, IAS Regulation, IFRS Supervisory Convergence||Reference||PDF
|31/10/2016||2016/1529 ANNEX||Annex I- Template for the assessment of collective suitability||Guidelines and Technical standards, MiFID - Investor Protection||Reference||XLSX
|10/11/2016||2013/68c||Protocol on the operation of ESMA MiFID Database final||MiFID - Investor Protection, MiFID - Secondary Markets||Reference||PDF
|10/11/2016||2016/1562 REPLY FORM||Reply Form for CP on draft RTS on package orders for which there is a liquid market||MiFID - Secondary Markets||Reference||DOCX
|16/11/2016||2016-1573||ESMA response to the Commission Consultation on a potential EU personal pension framework||MiFID - Investor Protection||Reference||PDF
|16/01/2017||ESMA00-6-265||Briefing note on MiFID II technical data reporting requirements||MiFID - Secondary Markets||Reference||PDF
|17/03/2017||ESMA 35-30-473||Call for expressions of interest- Consultative Working Group for ESMA’s IPISC 2017||MiFID - Investor Protection||Reference||PDF
|17/03/2017||esma35-30-479||IPISC CWG Application form 2017||MiFID - Investor Protection||Reference||DOCX
|04/04/2017||ESMA658-3153||FIRDS Transparency Non-Equity conditional completeness table||MiFID - Secondary Markets||Reference||XLSX
|06/04/2017||ESMA70-872942901-17||Final report on Guidelines on the calibration of circuit breakers and the publication and reporting of trading halts under MiFID II||MiFID - Secondary Markets||Final Report||PDF
|02/06/2017||ESMA35-43-620||Final report on guidelines on MiFID II product governance requirements||MiFID - Investor Protection||Final Report||PDF
|16/06/2017||Delegation agreement - SE/DK||Delegation Agreement between Finanstilsynet and Finansinspektionen||MiFID - Investor Protection, MiFID - Secondary Markets||Reference||PDF
|19/06/2017||ESMA70-156-166||Response template consultation trading obligation MiFIR||MiFID - Secondary Markets||Reference||DOCX
|28/06/2017||ESMA35-36-885||Product Intervention- General Statement||Innovation and Products, MiFID - Investor Protection||Statement||PDF
This statement provides an update on the European Securities and Markets Authority’s (ESMA) work in relation to the sale of contracts for differences (CFDs), binary options and other speculative products to retail investors.
ESMA has been concerned about the provision of speculative products such as CFDs, rolling spot forex and binary options to retail investors for a considerable period of time and has conducted ongoing monitoring and supervisory convergence work in this area. In this context, ESMA has previously published a number of Q&As on CFDs and other speculative products to foster supervisory convergence, having established a CFD Task Force in July 2015, and also issued a further investor warning on the sale of CFDs, binary options and other speculative products in July 2016.
However, ESMA remains concerned that these supervisory convergence tools may not be sufficiently effective to ensure that the risks to consumer protection are sufficiently controlled or reduced. ESMA is therefore discussing the possible use of its product intervention powers under Article 40 of MiFIR to address investor protection risks in relation to CFDs, rolling spot forex and binary options.
ESMA is in the process of discussing the possible use of its product intervention powers under Article 40 of MiFIR, the possible content of any such measures, and how they could be applied. However, ESMA can confirm that the measures being discussed for (i) CFDs and rolling spot forex and (ii) binary options include proposals that take into account a number of measures that have been adopted or publicly consulted on by EU National Competent Authorities. These measures include leverage limits, guaranteed limits on client losses, and / or restrictions on the marketing and distribution of these products.
In accordance with Article 40 of MiFIR, any intervention measures must be approved by the ESMA Board of Supervisors and can only come into effect from 3 January 2018 at the earliest.
 ESMA/2016/1166 Warning about CFDs, binary options and other speculative products published 25 July 2016
|07/09/2017||Delegation agreement - FI/DK||Delegation Agreement between Finanssivalvonta and Finansinspektionen||MiFID - Investor Protection, MiFID - Secondary Markets||Reference||PDF
|15/09/2017||ESMA70-154-259||Procedure for exemption of MiFIR access provisions for trading venues as regards exchange-traded derivatives||MiFID - Secondary Markets||Reference||PDF
|28/09/2017||ESMA70-154-356||Public statement- Joint work plan of ESMA and NCAs for opinions on MiFID II pre-trade transparency waivers and position limits||MiFID - Secondary Markets||Statement||PDF
|28/09/2017||ESMA70-154-266||Guidelines on the management body of market operators and data reporting service providers||Guidelines and Technical standards, MiFID - Secondary Markets||Final Report||PDF