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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|18/02/2015||2015/319||Addendum Consultation Paper- MiFID II/MiFIR||MiFID - Secondary Markets||Consultation Paper||PDF
|The European Securities and Markets Authority (ESMA) has published today a consultation paper (CP) which complements the transparency section of the CP on MiFID II/MiFIR published on 19 December 2014. This CP covers the following non-equity asset classes: foreign exchange derivatives; credit derivatives; other derivatives; and contracts for difference (CFDs). For each asset class two sections are provided: the first presents the analysis on the definition of a liquid market and the second includes the calculations on the pre-trade and post-trade transparency large in scale (LIS) and size specific to the instrument (SSTI) thresholds. The last section of the CP completes draft RTS 9 (Transparency requirements in respect of bonds, structured finance products, emission allowances and derivatives) published in Annex B of the CP on MiFID II/MiFIR on 19 December 2014, where rules and tables were included for bonds, structured finance products, emission allowances and derivatives not covered in this more recent analysis. This CP should be read in conjunction with ESMA’s CP on MiFID II/MiFIR and the related Annex B published on 19 December 2014. This consultation runs until 20 March 2015. ESMA will use the input received to finalise its draft RTS which will be sent for endorsement to the European Commission in mid-2015. MiFID II/ MiFIR and its implementing measures will be applicable from 3 January 2017.|
|26/02/2015||2015/496||MiFID II – Switching on the light without turning-off the tap- Verena Ross, Executive Director, ESMA||MiFID - Secondary Markets, Speeches||Speech||PDF
|Verena Ross, Executive Director of ESMA, delivered the keynote speech at the ABA/Law Society Capital Markets Conference 2015 in London on MiFID II which focused on transparency and liquidity issues.|
|22/04/2015||2015/532||Investment using virtual currency or distributed ledger technology||Innovation and Products||Consultation Paper||PDF
|ESMA has been monitoring and analysing virtual currency investment over the last 6 months, to understand developments in the market, potential benefits or risks for investors, market integrity or financial stability, and to support the functioning of the EU single market. ESMA’s analysis is set out in this paper. ESMA is seeking to share its analysis in order to promote wider understanding of innovative market developments, and invites market participants and other stakeholders to submit feedback and any additional information on the following topics: Virtual currency investment products, i.e. collective investment schemes or derivatives such as options and CFDs that have virtual currencies (VCs) as an underlying or invest in VC related businesses and infrastructure; Virtual currency based assets/securities and asset transfers, i.e. financial assets such as shares, funds, etc. that are exclusively traded using virtual currency distributed ledgers (also known as block chains);and The application of the distributed ledger technology to securities/investments, whether inside or outside a virtual currency environment.|
|24/03/2015||2015/620||MIFID/MIFIR- CSD hearing before ECON||MiFID - Secondary Markets, Speeches||Speech||PDF
|01/04/2015||2015/674||Press release- ESMA launches centralised data projects for MiFIR and EMIR||MiFID - Secondary Markets, Press Releases||Press Release||PDF
|06/05/2015||2015/675||Guidelines on the application of the definitions in Sections C6 and C7 of Annex I of Directive 2004/39/EC (MiFID)||Guidelines and Technical standards, MiFID - Secondary Markets||Guidelines & Recommendations||PDF
|21/05/2015||2015/856 Ann1||Investment-based crowdfunding- Insights from regulators in the EU||Innovation and Products||Final Report||PDF
|08/11/2016||2016/1053||Call for expressions of interest Consultative Working Group for ESMA’s Financial Innovation Standing Committee (FISC)||Innovation and Products, Risk Analysis & Economics - Markets Infrastructure Investors||Reference||PDF
|08/11/2016||2016/1053 FORM||Application Form for FISC CWG||Innovation and Products, Risk Analysis & Economics - Markets Infrastructure Investors||Reference||DOCX
|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
|30/09/2016||2016/1420||Financial Technology: The Regulatory Tipping Points||Innovation and Products, Risk Analysis & Economics - Markets Infrastructure Investors||Speech||PDF
|30/09/2016||2016/1421||MiFID II: Status Quo und weitere Entwicklung||MiFID - Secondary Markets, Speeches||Speech||PDF
|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