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Reset all filtersMiFID - Investor Protection
Supervisory convergence
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 ...
Guidelines and Technical standards
MiFID - Secondary Markets
Guidelines on the management body of market operators and data reporting service providers
ESMA70-154-266
28 September 2017
Reference ESMA70-154-266 Section Guidelines and Technical standards MiFID- Secondary Markets Type ...
Brexit
MiFID - Secondary Markets
Supervisory convergence
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 ...
Brexit
MiFID - Investor Protection
Supervisory convergence
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 ...
Guidelines and Technical standards
MiFID - Secondary Markets
Final Report - Guidelines on transaction reporting, order record keeping and clock synchronisation under MiFID II
2016/1451
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 ...
Guidelines and Technical standards
Post Trading
MiFID - Secondary Markets
Draft RTS on indirect clearing arrangements under EMIR and MiFIR
2016/725
26 May 2016
Reference 2016/725 Section Guidelines and Technical standards Post Trading MiFID- Secondary ...
MiFID - Investor Protection
Supervisory convergence
Suitability Peer Review - Annex
2016/585
07 April 2016
Reference 2016/585 Section MiFID- Investor Protection Supervisory convergence Type Final Report ...
MiFID - Investor Protection
Supervisory convergence
Suitability Peer Review - Final Report
2016/584
07 April 2016
Reference 2016/584 Section MiFID- Investor Protection Supervisory convergence Type Final Report ...
MiFID - Investor Protection
Supervisory convergence
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 ...
Supervisory convergence
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 - Investor Protection
Warnings and publications for investors
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 ...
Guidelines and Technical standards
MiFID - Investor Protection
Final report Guidelines on certain aspects of the MiFID suitability requirements
2012/387
06 July 2012
Reference 2012/387 Section Guidelines and Technical standards MiFID- Investor Protection Type ...