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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 ...

Opinion to support supervisory convergence in the area of secondary markets in the context of the United Kingdom withdrawing from the European Union

ESMA70-154-270
13 July 2017
Reference ESMA70-154-270 Section Brexit MiFID- Secondary Markets Supervisory convergence Type ...

Opinion to support supervisory convergence in the area of investment firms in the context of the United Kingdom withdrawing from the European Union

ESMA35-43-762
13 July 2017
Reference ESMA35-43-762 Section Brexit MiFID- Investor Protection Supervisory convergence 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 ...

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 ...

MiFID practices for firms selling complex products

2014/146
07 February 2014
Reference 2014/146 Section MiFID- Investor Protection Warnings and publications for investors Type ...

Feedback statement - CESR Technical Advice to the European Commission in the Context of the MiFID Review-Standardisation and Organised Platform Trading of OTC Derivatives

10-1210
21 December 2010
Reference 10-1210 Section CESR Archive Type Final Report Main document 10_1210.pdf Style ESMA document ...

CESR second set of Technical Advice to the European Commission in the Context of the MiFID Review and Responses to the European Commission Request for Additional Information

MiFID Review Compiled Version 2nd set
13 October 2010
Reference MiFID Review Compiled Version 2nd set Section CESR Archive Type Final Report Main ... document compiled_version_technical_advice_and_additional_information_mifid_review_2.pdf Style ESMA ...

Responses to the Commission’s request for additional information in relation to the MiFID Review

10-1254
13 October 2010
Reference 10-1254 Section CESR Archive Type Final Report Main document 10_1254.pdf Style ESMA document ...

Feedback statement - CESR Technical Advice to the European Commission in the Context of the MiFID Review: Equity Markets

10-975
13 October 2010
Reference 10-975 Section CESR Archive Type Final Report Main document 10_975.pdf Style ESMA document ...

Feedback statement - CESR Technical Advice to the European Commission in the Context of the MiFID Review: Non-equity markets Transparency

10-851
13 October 2010
Reference 10-851 Section CESR Archive Type Final Report Main document 10_851.pdf Style ESMA document ...

Responses to the Commission’s request for additional information in relation to the MiFID Review

10-1254
13 October 2010
Reference 10-1254 Section CESR Archive Type Final Report Main document 1-10_1254.pdf Style ESMA document ...

CESR Technical Advice to the European Commission in the Context of the MiFID Review and Responses to the European Commission Request for Additional Information

MiFID Review Compiled Version
29 July 2010
Reference MiFID Review Compiled Version Section CESR Archive Type Final Report Main document ... compiled_version_technical_advice_and_additional_information_mifid_review.pdf Style ESMA document ...

CESR Technical Advice to the European Commission in the Context of the MiFID Review - Equity Markets

10-802
29 July 2010
10_802_technical_advice_mifid_review_equity_markets.pdf Style ESMA document ...

CESR Technical Advice to the European Commission in the Context of the MiFID Review: Non-equity Markets Transparency

10-799
29 July 2010
10_799_technical_advice_mifid_review_non_equity_markets_transparency_u_2_.pdf Style ESMA document ...

CESR Technical Advice to the European Commission in the context of the MiFID Review – Transaction Reporting

10-808
29 July 2010
10_808_technical_advice_mifid_review_transaction_reporting.pdf Style ESMA document ...

CESR Technical Advice to the European Commission in the context of the MiFID Review - Investor Protection and Intermediaries

10-859
29 July 2010
10_859_technical_advice_mifid_review_investor_protection_and_intermediaries.pdf Style ESMA document ...

CESR’s Responses to Questions 15-18 and 20-25 of the European Commission Request for Additional Information in Relation to the Review of MiFID

10-860
29 July 2010
_commission_request_for_additional_information_in_relation_to_the_mifid_review.pdf Style ESMA document ...