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Type of document
|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|06/07/2012||2012/388 EN||Guidelines on certain aspects of the MiFID compliance function requirements||MiFID - Investor Protection||Guidelines & Recommendations||PDF
|24/02/2012||2012/122||Guidelines- Systems and controls in an automated trading environment for trading platforms, investment firms and competent authorities||Guidelines and Technical standards, MiFID - Secondary Markets||Guidelines & Recommendations||PDF
ESMA Board of Supervisors (the BoS) has decided on the 26 September 2018 to withdraw the guidelines on “Systems and controls in an automated trading environment for trading platforms, investment firms and competent authorities”. The guidelines were issued by ESMA, in February 2012, to ensure a common, uniform and consistent application of MiFID and MAD. The BoS decision to withdraw the guidelines is based on the subject matter being fully incorporated into MiFID II, MAR, and relevant delegated acts.
|22/12/2011||2011/456||Final report- Guidelines on systems and controls in an automated trading environment for trading platforms, investment firms and competent authorities||MiFID - Secondary Markets||Guidelines & Recommendations||PDF
This is the final report. The guidelines along with the translations are published separately.
|18/05/2011||2011/139||Final report- Guidelines on the application of the endorsement regime under Article 4 (3) of the Credit Rating Agencies Regulation No 1060/2009||Credit Rating Agencies, Guidelines and Technical standards||Guidelines & Recommendations||PDF