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

ESMA35-43-1076
27 September 2019
Reference ESMA35-43-1076 Section Guidelines and Technical standards MiFID- Investor Protection ...

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

ESMA35-43-1542
23 July 2019
Reference ESMA35-43-1542 Section Guidelines and Technical standards MiFID- Investor Protection ...

ESMA publishes report on the licencing of FinTech firms across Europe

12 July 2019
wide holistic crowdfunding regime, particularly for crowdfunding based on non-MiFID II instruments. ...

Compliance table on Guidelines on MiFID II suitability requirements

ESMA35-43-1430
20 June 2019
esma35-43-1430_compliance_table_on_guidelines_on_mifid_ii_suitability_requirements.pdf Style ESMA document ... Reference ESMA35-43-1430 Section Guidelines and Technical standards MiFID- Investor Protection ...

ESMA publishes translations for Guidelines on the application of C6 and C7 of Annex 1 of MiFID II

05 June 2019
C7 of Annex 1 of MiFID II. National Competent Authorities (NCAs) to which these Guidelines apply must ... Guidelines and Technical standards MiFID- Secondary Markets The European Securities and Markets ...

Guidelines on the application of C6 and C7 of Annex 1 of MiFID II

ESMA-70-156-869
05 June 2019
Recommendations Main document esma-70-156-869_guidelines_on_c6_c7_application_of_mifid_ii_annex_1.pdf Translated ... versions esma-70-156-869_guidelines_on_c6_c7_application_of_mifid_ii ... _annex_1_bg.pdf esma-70-156-869_guidelines_on_c6_c7_application_of_mifid_ii_annex_1_cs.pdf esma-70-156-869_guidelines_on_c6_c7_application_of_mifid_ii ...

Compliance table for the Guidelines on transaction reporting, order record keeping and clock synchronization under MiFID II

ESMA70-145-1345
21 March 2019
esma-70-145-1345_compliance_table_mifid_ii_guidelines_on_transaction_reporting.pdf Style ESMA document ... Reference ESMA70-145-1345 Section Guidelines and Technical standards MiFID- Secondary Markets Type ...

ESMA publishes its 2019 Risk Assessment Work Programme

07 February 2019
AIFs and structured retail products); and o   the first annual statistical report on MiFID II data. ... under its AIFMD, MiFID and EMIR mandates and others becomes available, ESMA is – in cooperation with ...
30 January 2019
sustainability risks and factors in MiFID II Consultation on integrating sustainability risks and factors in ... the integration of sustainability risks and factors into the Markets in Financial Instruments Directive II (MiFID ... risks and factors in MiFID II Consulation Paper on Disclosure Requirements Applicable to Credit Ratings ...

Crypto-assets need common EU-wide approach to ensure investor protection

09 January 2019
instruments under MiFID, there are areas that require potential interpretation or re-consideration of specific ... crypto-assets may qualify as MiFID financial instruments, in which case the full set of EU financial rules would ...

ESAs publish joint report on regulatory sandboxes and innovation hubs

07 January 2019
facilitators; (ii) promote transparency of regulatory and supervisory policy outcomes from arising from ...

Compliance table for Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body

ESMA35-43-1215
06 November 2018
Reference ESMA35-43-1215 Section Guidelines and Technical standards Joint Committee MiFID ...

ESMA publishes official translations of Guidelines on MiFID II suitability requirements

06 November 2018
of the MiFID II suitability requirements. National Competent Authorities (NCAs) to which these Guidelines apply ... Guidelines and Technical standards MiFID- Investor Protection The European Securities and Markets ...

Guidelines on certain aspects of the MiFID II suitability requirements

ESMA35-43-1163
06 November 2018
esma35-43-1163_guidelines_on_certain_aspects_of_mifid_ii_suitability_requirements.pdf Translated versions ... esma35-43-1163_guidelines_on_certain_aspects_of_mifid_ii_suitability_requirements_bg.pdf esma35-43-1163_guidelines_on_certain_aspects_of_mifid_ii ... _suitability_requirements_cs.pdf esma35-43-1163_guidelines_on_certain_aspects_of_mifid_ii_suitability_requirements_da.pdf esma35-43-1163_guidelines_on_certain_aspects_of_mifid_ii ...

ESMA withdraws MiFID automated trading guidelines following their incorporation into MiFID II

03 October 2018
firms and competent authorities in December 2011. Following the entry into force of MiFID II on ... to withdraw the guidelines based on the subject matter being successfully and fully incorporated into MiFID II ... Guidelines and Technical standards MiFID- Secondary Markets The European Securities and Markets ...

BoS Decision Notice AT Guidelines Withdrawal

ESMA70-154-803
03 October 2018
Reference ESMA70-154-803 Section Guidelines and Technical standards MiFID- Secondary Markets Type ...

Compliance table - Guidelines on the management body of market operators and DRSPs under MiFID II

ESMA70-156-350
20 September 2018
Reference ESMA70-156-350 Section Guidelines and Technical standards MiFID- Secondary Markets Type ...

Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body and key function holders

ESMA71-99-598
21 March 2018
Reference ESMA71-99-598 Section Guidelines and Technical standards Joint Committee MiFID- Investor ...

EBA and ESMA publish guidelines on suitability assessment for management body members and key function holders

21 March 2018
Guidelines and Technical standards Joint Committee MiFID- Investor Protection Press Releases ...

ESMA publishes translations for Guidelines on MiFID II product governance requirements

05 February 2018
Authority (ESMA) has issued today the official translations of its Guidelines on MiFID II product governance ... Guidelines and Technical standards MiFID- Investor Protection The European Securities and Markets ...

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