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ESMA updates Q&AS on MiFID II and MiFIR investor protection topics

18 February 2020
Financial Instruments Directive and Regulation (MiFID II/ MiFIR). The Q&As on MiFID II and MiFIR ... threshold referred to in Article 44a(2)(a) of BRRD 2 The purpose of the MiFID II/MiFIR investor protection ... Q&As is to promote common supervisory approaches and practices in the application of MiFID II and ...

Q&As on MiFID II and MiFIR investor protection topics

ESMA35-43-349
18 February 2020
Main document esma35-43-349_mifid_ii_qas_on_investor_protection_topics.pdf Style ESMA document ... Reference ESMA35-43-349 Section MiFID- Investor Protection Supervisory convergence Type Q&A ...

Compliance table for Guidelines on MiFID II product governance requirements (ESMA35-43-620)

ESMA35-43-1076
11 February 2020
Reference ESMA35-43-1076 Section Guidelines and Technical standards MiFID- Investor Protection ...

Compliance table - Guidelines on cross-selling practices (ESMA/2016/574)

ESMA35-43-1968
11 February 2020
Reference ESMA35-43-1968 Section Guidelines and Technical standards MiFID- Investor Protection ...

Public Register for the Trading Obligation for derivatives under MiFIR

ESMA70-156-300
07 February 2020
Reference ESMA70-156-300 Section MiFID- Secondary Markets Type Reference Main document ...

ESMA launches a Common Supervisory Action with NCAs on MiFID II suitability rules

05 February 2020
authorities (NCAs) on the application of MiFID II suitability rules across the European Union (EU). The CSA ... will be conducted during   2020. The CSA will focus on the application of the MiFID II requirements on ... MiFID- Investor Protection The European Securities and Markets Authority (ESMA), the EU’s ...

ESMA advises the European Commission on Product Intervention

04 February 2020
of the MiFID II and MiFIR review. ESMA has taken into account the opinion of the Securities Markets Stakeholder ... MiFID- Investor Protection The European Securities and Markets Authority (ESMA), the EU’s ... to the EC to address the risk of arbitrage between MiFID firms and fund management companies Advice on how ...

ESMA’s Technical Advice to the Commission on the effects of product intervention measures

ESMA35-43-2134
04 February 2020
Reference ESMA35-43-2134 Section MiFID- Investor Protection Type Technical Advice Main document ...

Contact points of national supervisory authorities for communication in the MiFID II framework on supervisory cooperation, authorisation, acquisitions and passporting

ESMA35-43-1410
03 February 2020
esma35-43-1410_mifid_ii_contact_point_information_for_ncas.pdf Style ESMA document ... Reference ESMA35-43-1410 Section MiFID- Investor Protection Type Reference Main document ...

ESMA issues an opinion on Product Intervention measures by Norway

03 February 2020
MiFID- Investor Protection The European Securities and Markets Authority (ESMA) has today issued ...

ESMA opinion under article 43(2) MiFIR (NO_CFD)

ESMA35-43-2171
03 February 2020
Reference ESMA35-43-2171 Section MiFID- Investor Protection Type Opinion Main document ...

ESMA opinion under article 43(2) MiFIR (NO_BO)

ESMA35-43-2172
03 February 2020
Reference ESMA35-43-2172 Section MiFID- Investor Protection Type Opinion Main document ...

MiFID II: ESMA makes new bond liquidity data available

31 January 2020
MiFID- Secondary Markets MiFID II: Transparency Calculations and DVC The European Securities and ... post-trade requirements of the Markets in Financial Instruments Directive (MiFID II) and Regulation (MiFIR) ... liquid bonds subject to MiFID II transparency requirements. ESMA’s liquidity assessment for bonds is ...

MiFID II: ESMA publishes data for the systematic internaliser calculations for equity, equity-like instruments and bonds

31 January 2020
MiFID- Secondary Markets MiFID II: Transparency Calculations and DVC The European Securities and ... equity-like instruments and bonds under the Markets in Financial Instruments Directive (MiFID II) and ... 30 April 2020. Background According to Article 4(1)(20) of Directive 2014/65/EU (MiFID II) investment ...

ESMA consults on the new MiFIR and MiFID II regimes for third-country firms

31 January 2020
introduced changes to MiFIR and MiFID II regimes for the provision of investment services and activities in ... under MiFIR and MiFID II. In particular, in accordance with Article 46(7) and (8) of MiFIR, ESMA will ... to ESMA should be submitted. While branches of third-country firms authorised under Article 39 of MiFID II ...
31 January 2020
investment firms) of Directive 2014/65/EU of the European Parliament and of the Council (MiFID II), and their ... and firms that are subject to MiFID II and MiFIR Responding to this paper   ESMA invites comments on ... of investment services and activities in the Union by third-country firms under MiFID II and MiFIR Response form ...

Draft technical standards on the provision of investment services and activities in the Union by third-country firms under MiFID II and MiFIR

ESMA35-43-2131
31 January 2020
Reference ESMA35-43-2131 Section MiFID- Investor Protection Type Consultation Paper Main document ...

ESMA appoints chairs to its Standing Committees

30 January 2020
Regulation IFRS Supervisory Convergence Innovation and Products MiFID- Investor Protection MiFID- Secondary ...

ESMA publishes responses to its consultation on MiFID II review report on position limits

13 January 2020
MiFID II review report on position limits and position management. To view the responses, please click ... the button below. Consultation on MiFID II review report on position limits and position management- draft ... MiFID- Secondary Markets ESMA has today published the responses received to its consultation on ...

MIFID II: ESMA ISSUES LATEST DOUBLE VOLUME CAP DATA

09 January 2020
MiFID- Secondary Markets MiFID II: Transparency Calculations and DVC The European Securities and ... (DVC) data under the Markets in Financial Instruments Directive (MiFID II). Today’s updates include DVC ... ESMA does not update DVC files older than 6 months. Background MiFID II introduced the DVC to limit ...

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