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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 ...

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 ...
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 updates Q&AS on MiFID II and MiFIR investor protection and intermediaries

04 December 2019
Financial Instruments Directive and Regulation (MiFID II/ MiFIR). The update includes Q&As on costs and ... of MiFID II after 3 January 2018, including issues of late transposition; and Other issues Product ... governance Product intervention The Q&As on MiFID II and MiFIR investor protection and intermediaries ...

Steven Maijoor delivers keynote address at Euro Finance Week

19 November 2019
looked back at the implementation of MiFID II highlighting key achievements in both retail and wholesale ... need to be considered to ensure that MiFID II delivers on its objectives and is applied in a convergent ... and coherent manner across the European Union. The speech also highlighed forthcoming MiFID II related ...

Banking and the MiFID II review

ESMA71-319-154
19 November 2019
Reference ESMA71-319-154 Section MiFID- Investor Protection MiFID- Secondary Markets Speeches Type ...

ESMA publishes updates its Q&As on investor protection issues

03 October 2019
under the Market in Financial Instruments Directive and Regulation (MiFID II/ MiFIR). The Q&As on ... MiFID II and MiFIR investor protection and intermediaries’ topics update answers on: Best execution ... relationship” The purpose of the MiFID II/MiFIR investor protection Q&As is to promote common supervisory ...
30 September 2019
2018/795 5, (EU) 2018/1466 6, (EU) 2018/2064 7 and (EU) 2019/509 8. Documents Call for evidence on MiFID II ... Consultation date from 30/09/2019 to 04/11/2019 Section MiFID- Investor Protection Details ... options impacted by ESMA product intervention measures) and (ii) consumer groups and investors. When ...

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