ESMA LIBRARY

The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
1054
DOCUMENTS

REFINE YOUR SEARCH

Sections

Type of document

Your filters
MiFID - Investor Protection X MiFID - Secondary Markets X European Single Electronic Format X Guidelines and Technical standards X
Reset all filters
Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
21/08/2012 2012/387 NL Richtsnoeren met betrekking tot bepaalde aspecten van de MiFID-geschiktheidseisen , Guidelines & Recommendations PDF
355.02 KB
21/08/2012 2012/387 DA Retningslinjer for visse aspekter af egnethedskravene ifølge MiFID , Guidelines & Recommendations PDF
341.81 KB
21/08/2012 2012/387 CS Obecné pokyny k určitým aspektům požadavků směrnice MiFID ohledně vhodnosti , Guidelines & Recommendations PDF
363.15 KB
21/08/2012 2012/387 BG Насоки относно определени аспекти на изискванията на MiFID за годност , Guidelines & Recommendations PDF
357.81 KB
01/08/2012 2012/490 Call for expressions of interest in ESMA's Consultative Working Group on Investor Protection and Intermediaries Standing Committee Reference PDF
130.34 KB
The deadline for responses to this call for interest has been extended two weeks, to 14 September 2012.
27/07/2012 2012/476 Reply of ESMA to the European Commission’s Green Paper on Shadow Banking Letter PDF
175.94 KB
25/07/2012 2012/478 ESMA MiFID database- description of webservice Reference PDF
123.71 KB
This document provides useful information for developers wanting to use the webservice provided in ESMA's MIFID databases.
06/07/2012 2012/424 ESMA publishes MiFID guidelines to enhance investor protection , Press Release PDF
118.08 KB
The European Securities and Markets Authority (ESMA) has today published two final sets of guidelines aimed at enhancing the protection of investors in the EU. The guidelines relate to the provisions under the Markets in Financial Instruments Directive (MiFID) relating to the suitability of investment advice and the compliance function.
06/07/2012 2012/388 Guidelines on certain aspects of the MiFID compliance function requirements Guidelines & Recommendations PDF
442.44 KB
06/07/2012 2012/387 Final report Guidelines on certain aspects of the MiFID suitability requirements , Final Report PDF
444.15 KB
06/07/2012 2012/387 en Guidelines on certain aspects of the MiFID suitability requirements Guidelines & Recommendations PDF
298.21 KB
06/07/2012 2012/388 EN Guidelines on certain aspects of the MiFID compliance function requirements Guidelines & Recommendations PDF
305.13 KB
22/06/2012 2012/382 MiFID Q&A in the area of investor protection and intermediaries Q&A PDF
319.78 KB
20/06/2012 2012/378 Operation of notifications of MiFID Article 41 suspensions and removals of financial instruments from trading Reference PDF
353.3 KB
This protocol has been created to ensure effective co-operation between Competent Authorities (CAs) with respect to their obligations under Article 41 of MiFID (Suspension and removal of in-struments from trading).The purpose of the notification obligations under Article 41 is to afford investors across all Mem-ber States the same level of protection regardless of where they trade. In order to achieve this outcome, a shared understanding of the different circumstances under which trading may be suspended in different Member States according to their national law and the expected course of action under Article 41 is helpful. To ensure trading is suspended or an instrument is removed from trading in an effective and timely way, an effective communication process is necessary.The protocol will be kept under review in light of practical experience.
28/03/2012 2012/197 sv Riktlinjer om riskbedömning och beräkning av total exponering i vissa typer av strukturerade fondföretag , Guidelines & Recommendations PDF
265.15 KB
28/03/2012 2012/197 sl Smernice o merjenju tveganj in izračunu skupne izpostavljenosti za nekatere vrste strukturiranih UCITS skladov , Guidelines & Recommendations PDF
267.01 KB
28/03/2012 2012/197 sk Usmernenia o meraní rizika a výpočte celkového rizika pre určité typy štruktúrovaných PKIPCP , Guidelines & Recommendations PDF
272.43 KB
28/03/2012 2012/197 ro Ghid privind măsurarea riscului şi calcularea expunerii globale pentru anumite tipuri de OPCVM-uri structurate , Guidelines & Recommendations PDF
267.6 KB
28/03/2012 2012/197 pt Orientações relativas à avaliação do risco e ao cálculo da exposição global de determinados tipos de OICVM estruturados , Guidelines & Recommendations PDF
268.55 KB
28/03/2012 2012/197 pl Wytyczne w sprawie pomiaru ryzyka i obliczania ogólnego narażenia na ryzyko w odniesieniu do niektórych rodzajów UCITS strukturyzowanych , Guidelines & Recommendations PDF
272.91 KB