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Final report on integrating sustainability risks and factors in the MIFID II
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 ...
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 ...
Review of Article 26 of RTS No 153/2013 with respect to MPOR for client accounts
05 April 2016
the legislative mandates related to the draft RTS (Annex I), the ESMA cost-benefit-analysis (Annex II) and ...
Reasons for publication This final report proposes amending Article 26 of the Commission Delegated Regulation No 153/2013 with regard to regulatory technical standards (RTS) on requirements for central counterparties (CCP) on the time horizons for the liquidation period which European Securities...
Opinion on draft RTS on the Clearing Obligation
29 January 2015
derivative contracts referred to in Article 4(1)(b)(ii) of EMIR. Background and Procedure On 1 October 2014, ...
Legal Basis According to Article 5(2) of Regulation (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories (EMIR), the European Securities and Markets Authority (ESMA) shall develop draft regulatory technical...
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 ...