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Guidelines on the management body of market operators and data reporting service providers
28 September 2017
Reference ESMA70-154-266 Section Guidelines and Technical standards MiFID- Secondary Markets Type ...
Final Report - Guidelines on transaction reporting, order record keeping and clock synchronisation under MiFID II
10 October 2016
Report Main document 2016-1451_final_report_on_guidelines_mifid_ii_transaction_reporting.pdf Style ESMA ... Reference 2016/1451 Section Guidelines and Technical standards MiFID- Secondary Markets Type Final ...
Draft RTS on indirect clearing arrangements under EMIR and MiFIR
26 May 2016
Reference 2016/725 Section Guidelines and Technical standards Post Trading MiFID- Secondary ...
Structured Retail Products - Good practices for product governance arrangements
27 March 2014
Instruments Directive (MiFID) and its implementing measures (notably, Directive 2006/73/EC), the regulatory ... developments arising from the MiFID review or existing product rules that may apply to SRPs. 4. ESMA’s ... in particular, (i) the complexity of the SRPs they manufacture or distribute, (ii) the nature and ...
Legal basis 1. Regulation (EU) No 1095/2010 (ESMA Regulation) sets out the European Securities and Markets Authority’s (ESMA) scope of action, tasks and powers which include “enhancing customer protection”, and “foster[ing] investor protection”. 2. In order to continue delivering on this investor...
Final report Guidelines on certain aspects of the MiFID suitability requirements
06 July 2012
Reference 2012/387 Section Guidelines and Technical standards MiFID- Investor Protection Type ...