SEARCH

Your filters
Final Report X Technical Standards X Compliance table X Supervisory convergence X MiFID - Investor Protection X
Reset all filters

MiFID II Review Report on position limits and position management

ESMA70-156-2311
01 April 2020
Report Main document esma70-156-2311_mifid_ii_review_report_position_limits.pdf Style ESMA document ... Reference ESMA70-156-2311 Section MiFID- Secondary Markets Supervisory convergence Type Final ...

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 ...

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 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 ...

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 ...

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 ...

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 ...

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 ...

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 ...

Compliance table - Guidelines for the assessment of knowledge and competence (ESMA/2015/1886)

2016/1093
15 December 2016
Reference 2016/1093 Section Guidelines and Technical standards MiFID- Investor Protection Type ...

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 ...

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 ...

Best Execution under MiFID

2015/494
25 February 2015
regulators (national competent authorities or NCAs) supervise and enforce the MiFID provisions relating ... Luxembourg, Malta, Poland and Spain. Reference 2015/494 Section MiFID- Investor Protection Supervisory ... convergence Type Final Report Main document 2015-494_peer_review_report_on_best_execution_under_mifid ...

MiFID – Conduct of Business, fair, clear and not misleading information

2014/1485
11 December 2014
regulators (national competent authorities or NCAs) supervise MiFID conduct of business rules on providing ... communications under MiFID. The Report found that there was overall a high degree of compliance amongst NCAs with ... -1485_peer_review_report_-_mifid_-_conduct_of_business_fair_clear_and_not_misleading_information.pdf Style ...

Guidelines compliance table for Guidelines on remuneration policies and practices (MiFID)

2014-1213
07 October 2014
Reference 2014-1213 Section MiFID- Investor Protection Type Compliance table Main document ... 2014-1213_0.pdf Style ESMA document Related documents Guidelines on remuneration policies and practices (MiFID ... ) Guidelines on remuneration policies and practices (MiFID) ...