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ESMA advises the European Commission on inducements and costs and charges disclosures

01 April 2020
costs and charges disclosures under MiFID II. In the advice, ESMA encourages the EC to conduct further ... to costs and charges disclosure, ESMA has found that the MiFID II disclosure regime generally works well ... MiFID- Investor Protection The European Securities and Markets Authority (ESMA), the EU’s ...

Technical Advice on the impact of the inducements and costs and charges disclosure requirements under MiFID II

ESMA35-43-2126
01 April 2020
Reference ESMA35-43-2126 Section MiFID- Investor Protection Type Technical Advice Main document ...

ESMA provides clarifications for best execution reports under MiFID II

31 March 2020
execution venues and firms of the general best execution reports required under RTS 27 and 28  of MiFID II ... COVID-19 MiFID- Investor Protection The European Securities and Markets Authority (ESMA), the EU’s ...

Clarification of issues related to the publication of reports by execution venues and firms as required under RTS 27 and 28

ESMA35-36-1919
31 March 2020
Reference ESMA35-36-1919 Section COVID-19 MiFID- Investor Protection Type Statement Main document ...

ESMA extends consultations response dates

20 March 2020
completeness and consistency thresholds Consultation on MiFID II/ MiFIR review report on the transparency ... MiFID II and MiFIR Consultation paper on MiFIR Review Report on Transparency for Non-equity TOD ... Market Abuse MiFID- Investor Protection MiFID- Secondary Markets Securitisation Trading ...

ESMA Statement on COVID-19 telephone recording

ESMA35-43-2348
20 March 2020
Reference ESMA35-43-2348 Section COVID-19 MiFID- Investor Protection Type Statement Main document ...

ESMA clarifies position on call taping under MiFID II

20 March 2020
the application by firms of the MiFID II requirements on the recording of telephone conversations. ESMA reminds ... firms of the MiFID II requirements in this area. ESMA also recognises that, considering the exceptional ... the firm, the recording of relevant conversations required by MiFID II may not be practicable. If firms, ...

Compliance table - Guidelines on complex debt instruments and structured deposits (ESMA/2015/1787)

ESMA35-43-1957
10 March 2020
Reference ESMA35-43-1957 Section Guidelines and Technical standards MiFID- Investor Protection ...

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

ESMA35-43-1968
10 March 2020
Reference ESMA35-43-1968 Section Guidelines and Technical standards MiFID- Investor Protection ...

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 ...

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 ...

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 ...

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