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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 ...

Call for evidence on MiFID II product intervention powers

ESMA-35-43-2090
30 September 2019
esma-35-43-2090_call_for_evidence_on_mifid_ii_product_intervention_powers.pdf Style ESMA document ... Reference ESMA-35-43-2090 Section MiFID- Investor Protection Type Consultation Paper Main document ...

Call for evidence Impact of the inducements and costs and charges disclosure requirements under MiFID II

ESMA35-43-1905
17 July 2019
call_for_evidence_impact_of_the_inducements_and_costs_and_charges_disclosure_requirements_under_mifid_ii ... Reference ESMA35-43-1905 Section MiFID- Investor Protection Type Consultation Paper Main document ...

Consultation paper on compliance function guidelines

ESMA35-43-2019
15 July 2019
Reference ESMA35-43-2019 Section MiFID- Investor Protection Type Consultation Paper Main document ...

Final report on integrating sustainability risks and factors in the MIFID II

ESMA35-43-1737
03 May 2019
esma35-43-1737_final_report_on_integrating_sustainability_risks_and_factors_in_the_mifid_ii.pdf Style ESMA document ... Reference ESMA35-43-1737 Section Audit MiFID- Investor Protection Sustainable finance Type Final ...

Consultation paper on integrating sustainability risks and factors in MiFID II

ESMA35-43-1210
19 December 2018
2018-esma35-43-1210-_ipisc_cp_mifid_ii_sustainability.pdf Style ESMA document ... Reference ESMA35-43-1210 Section MiFID- Investor Protection Type Consultation Paper Main document ...

Consulation paper on integrating sustainability risks and factors in MiFID II

ESMA35-43-1210
19 December 2018
2018-esma35-43-1210-_ipisc_cp_mifid_ii_sustainability.pdf Style ESMA document ... Reference ESMA35-43-1210 Section MiFID- Investor Protection Type Consultation Paper Main document ...

Guidelines on certain aspects of the MiFID II suitability requirements

ESMA35-43-869
28 May 2018
Reference ESMA35-43-869 Section MiFID- Investor Protection Type Final Report Main document ...

Call for Evidence – Potential product intervention measures on contracts for differences and binary options to retail clients

ESMA35-43-904
18 January 2018
Reference ESMA35-43-904 Section MiFID- Investor Protection Type Consultation Paper Main document ...

Peer review on certain aspects of the compliance function under Mi-FID I

ESMA42-111-4285
29 November 2017
Reference ESMA42-111-4285 Section MiFID- Investor Protection Supervisory convergence Type Final ...

Consultation Paper on guidelines on certain aspects of the MiFID II suitability requirements

ESMA35-43-748
13 July 2017
Reference ESMA35-43-748 Section MiFID- Investor Protection Type Consultation Paper Main document ...

Final report on guidelines on MiFID II product governance requirements

ESMA35-43-620
02 June 2017
Reference ESMA35-43-620 Section MiFID- Investor Protection Type Final Report Main document ...

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

2016/1529
28 October 2016
Reference 2016/1529 Section Guidelines and Technical standards MiFID- Investor Protection Type ...

Consultation Paper on Draft guidelines on MiFID II product governance requirements

2016/1436
05 October 2016
Reference 2016/1436 Section MiFID- Investor Protection Type Consultation Paper Main document ...

Suitability Peer Review - Annex

2016/585
07 April 2016
Reference 2016/585 Section MiFID- Investor Protection Supervisory convergence Type Final Report ...

Suitability Peer Review - Final Report

2016/584
07 April 2016
Reference 2016/584 Section MiFID- Investor Protection Supervisory convergence Type Final Report ...

Final report - Guidelines on cross-selling practices

2015/1861
22 December 2015
Reference 2015/1861 Section MiFID- Investor Protection Type Final Report Main document ...

Final report on guidelines for the assessment of knowledge and competence

2015/1886
17 December 2015
Reasons for publication 1.            Article 25(1) of Directive 2014/65/EU (MiFID II) states that ... 2.            The European Securities and Markets Authority is required by Article 25(9) of MiFID II to develop ... 7.            Section II briefly summarises the feedback to the CP and the main responses from ESMA. ...

Final Report on complex debt instruments and structured deposits

2015/1783
30 November 2015
Reference 2015/1783 Section MiFID- Investor Protection Type Final Report Main document ...

Draft guidelines for the assessment of knowledge and competence

2015/753
23 April 2015
The European Securities and Markets Authority is required by Article 25(9) of MiFID II to develop ... consultation, draft ESMA guidelines on certain aspects of MiFID II for the assessment of knowledge and ... set principles for individuals in MiFID firms that give investment advice or information about ...