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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
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.
20/08/2013 2013/1119 Opinion on draft regulatory technical standards on types of AIFMs under Article 4(4) of Directive 2011/61/EU Reference PDF
247.02 KB
The European Securities and Markets Authority (ESMA) submitted its formal opinion to the European Commission on 13 August, in response to the letter received on 8 July, on draft regulatory technical standards under Article 4(4) of Directive 2011/61/EU. The opinion was issued in accordance with Article 10(1) sixth subparagraph of Regulation (EU) No 1095/2010.
08/01/2018 20180103 Overview of MiFID II position management controls Reference XLSX
11.24 KB
22/03/2019 esma35-36-1590 Presentation on CPs MIFID-UCITS-AIFMD , , Reference PDF
187.17 KB
10/01/2019 ESMA71-99-1081 Press release- ESMA report finds investment product performance highly impacted by charges , Annual Report PDF
159.37 KB
15/09/2017 ESMA70-154-259 Procedure for exemption of MiFIR access provisions for trading venues as regards exchange-traded derivatives Reference PDF
201.65 KB
19/12/2017 ESMA70-156-181 Procedure for reporting of circuit breakers’ parameters by NCAs to ESMA Reference PDF
462.58 KB
10/11/2016 2013/68c Protocol on the operation of ESMA MiFID Database final , Reference PDF
333.11 KB
07/02/2020 ESMA70-156-300 Public Register for the Trading Obligation for derivatives under MiFIR Reference PDF
205.07 KB
30/07/2020 ESMA34-46-96 Register of authorised European long-term investment funds (ELTIFs) Reference XLSX
38.96 KB
15/02/2019 ESMA34-47-218 RF Reply form call for IMSC CWG Reference DOCX
34.63 KB
06/04/2016 2016/570 RF Reply Form DP SC Reference DOCX
786.46 KB
10/11/2016 2016/1562 REPLY FORM Reply Form for CP on draft RTS on package orders for which there is a liquid market Reference DOCX
774.65 KB
06/10/2016 2016/1440 reply form Reply form for Guidelines on the calibration, publication and reporting of trading halts Reference DOCX
753.86 KB
09/11/2018 ESMA70-156-785 Reply form Reply form for the Call for evidence on periodic auctions for equity instruments Reference DOCX
772.02 KB
20/09/2016 2016/1389 RF Reply Form for the DP on the trading obligation for derivatives under MiFIR Reference DOCX
771.18 KB
24/07/2015 2015/1210 Reply form for the Guidelines on sound remuneration policies under the UCITS Directive and AIFMD Reference DOCX
786.38 KB
24/05/2019 ESMA70-156-1101 Reply Form Position Limits Reference DOCX
751.26 KB
24/05/2019 ESMA70-156-1101 Reply Form Position Limits Reference DOCX
751.26 KB
03/10/2016 2016/1422 Reply form to consultation on non-equity tape Reference DOCX
754.13 KB