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SMSG advice on ESMA’s CP on the MiFID II compliance function

ESMA22106-2002
06 November 2019
Reference ESMA22106-2002 Section Securities and Markets Stakeholder Group Type SMSG Advice Main document smsg_advice_on_compliance_requirements.pdf Style ESMA document ...

ESMA opinion on MiFID II RTS 1

esma70-156-769
21 September 2018
Reference esma70-156-769 Section MiFID- Secondary Markets Type Technical Standards Main document ...

SMSG Advice on Guidelines on certain aspects of the MiFID II suitability requirements

ESMA22-106-474
17 November 2017
document esma22-106-474_smsg_advice_esma_mifid_ii_suitability_guidelines.pdf Style ESMA document ...

Final Draft RTS on packaged orders

ESMA70-872942901-21 - annex
28 February 2017
Reference ESMA70-872942901-21- annex Section MiFID- Secondary Markets Type Technical Standards ...

Revised ESMA draft MiFID ITS — position reporting of commodity derivatives

ESMA70-872942901-3
09 February 2017
Reference ESMA70-872942901-3 Section MiFID- Secondary Markets Type Technical Standards Main ...

SMSG Advice - Response to ESMA’s Consultation Paper on MiFID II product governance

2016/SMSG/024
17 January 2017
document 2016-smsg-024_smsg_advice_on_mifid_ii_product_governance.pdf Style ESMA document ...

Annex II - CSDR TS on CSD Requirements and Internalised Settlement

2015/1457 - Annex II
28 September 2015
Reference 2015/1457- Annex II Section Post Trading Type Technical Standards Main document ... 2015-esma-1457_-_annex_ii_-_csdr_ts_on_csd_requirements_and_internalised_settlement.pdf Style ESMA document ...

2015-ESMA-1464 Annex I - draft RTS and ITS on MiFID II and MiFIR

2015-ESMA-1464 Annex I
28 September 2015
document 2015-esma-1464_annex_i_-_draft_rts_and_its_on_mifid_ii_and_mifir.pdf Style ESMA document ... Reference 2015-ESMA-1464 Annex I Section MiFID- Secondary Markets Type Technical Standards Main ...

Final Report - draft RTS and ITS on MIFID II and MiFIR

2015-ESMA-1464
28 September 2015
2015-esma-1464_-_final_report_-_draft_rts_and_its_on_mifid_ii_and_mifir.pdf Style ESMA document ... Reference 2015-ESMA-1464 Section MiFID- Secondary Markets Type Technical Standards Main document ...

SMSG Advice on Assessment of Knowledge and Competence in the Context of MiFID II

2015/SMSG/20
24 July 2015
Reference 2015/SMSG/20 Section Securities and Markets Stakeholder Group Type SMSG Advice Main document 2015-smsg-020-advice_on_knowledge_and_competence_requirements.pdf Style ESMA document ...

Draft RTS on prospectus related issues under the Omnibus II Directive

2015/1014
01 July 2015
-1014_-_final_report_-_draft_rts_on_prospectus_related_issues_under_the_omnibus_ii_directive.pdf Style ESMA ...

Final Report on MiFID II-MiFIR draft technical standards on authorisation, passporting, registration of third country firms and cooperation between competent authorities

2015/1006
30 June 2015
2015-esma-1006_-_mifid_ii_final_report_on_mifid_ip_technical_standards.pdf Style ESMA document ... Reference 2015/1006 Section MiFID- Investor Protection Type Technical Standards Main document ...

SMSG Contribution to the Green Paper on CMU - PART II

2015/SMSG/017 PART II
19 May 2015
Reference 2015/SMSG/017 PART II Section Securities and Markets Stakeholder Group Type SMSG Advice ... 2015-smsg-017-esma_smsg_-_part_ii_contribution_to_the_green_paper_on_cmu_quick_wins_comments.pdf Style ESMA document ...

Draft technical standards under Article 10a(8) of MiFID on the assessment of acquisitions and increases in qualifying holdings in investment firms

2015/613
27 March 2015
of MiFID, instead of paragraph 4 of Article 10b of MiFID; and- the publication of MiFID II which repeals ... Article 10b(4) of the Markets in Financial Instruments Directive (MiFID) requires Member States ... proportionate information in order to assess the acquisition. Article 10a of MiFID, as amended by Article 6(4) ...

SMSG Response to ESMA’s Consultation Paper on Draft Regulatory Technical Standards on prospectus related issues under the Omnibus II Directive

2015/SMSG/003
22 January 2015
Reference 2015/SMSG/003 Section Securities and Markets Stakeholder Group Type SMSG Advice Main document 2015-smsg-003_smsg_advice_prospectus.pdf Style ESMA document ...

Final Report on draft Implementing Technical Standards on main indices and recognised exchanges under the Capital Requirements Regulation

2014/1571
19 December 2014
2014/1571 Section MiFID- Secondary Markets Type Technical Standards Main document 2014-1571_-_final_report ...

SMSG advice - Investor Protection Aspects of the Consultation Paper on MiFID II and MiFIR

2014/SMSG/35
03 September 2014
Reference 2014/SMSG/35 Section Securities and Markets Stakeholder Group Type SMSG Advice Main document 2014-smsg-035.pdf Style ESMA document ...

SMSG advice - Trading Venues Aspects of the Consultation Paper on MiFID II and MiFIR

2014/SMSG/36
03 September 2014
Reference 2014/SMSG/36 Section Securities and Markets Stakeholder Group Type SMSG Advice Main document 2014-smsg-036.pdf Style ESMA document ...

SMSG advice - Transparency and trading obligations (equities) aspects of the Consultation Paper and Discussion Paper on MiFID II/MiFIR

2014/SMSG/37
03 September 2014
Reference 2014/SMSG/37 Section Securities and Markets Stakeholder Group Type SMSG Advice Main document 2014-smsg-037.pdf Style ESMA document ...

Draft technical standards under Article 10a(8) of MiFID on the assessment of acquisitions and increases in qualifying holdings in investment firms

2013/1940
06 January 2014
(MiFID[1]) requires Member States to make publicly available the information necessary to carry out ... Article 10a of MiFID, as amended by Article 6(4) of the Omnibus Directive[2], requires ESMA to draft: ... 10b(4) of MiFID.[3] implementing technical standards (ITS) to determine standard forms, templates and ...