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MiFID II Review Report on position limits and position management
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 ...
Public Statement MiFIR DTO
12 July 2019
Reference ESMA70-156-1436 Section MiFID- Secondary Markets Post Trading Type Statement Main ...
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 ...
Brexit Update March 2019
28 March 2019
Reference ESMA90-1-83 Section Brexit Credit Rating Agencies MiFID- Secondary Markets MiFID II ...
Statement of the EBA and ESMA on the treatment of retail holdings of debt financial instruments subject to the Bank Recovery and Resolution Directive
30 May 2018
Reference ESMA71-99-991 Section MiFID- Investor Protection Warnings and publications for investors ...
Statement on preparatory work of the European Securities and Markets Authority in relation to CFDs and binary options offered to retail clients
15 December 2017
Reference ESMA71-99-910 Section MiFID- Investor Protection Warnings and publications for investors ...
Peer review on certain aspects of the compliance function under Mi-FID I
29 November 2017
Reference ESMA42-111-4285 Section MiFID- Investor Protection Supervisory convergence Type Final ...
ESMA appoints new chairs to Standing Committees
29 September 2017
Corporate Information Innovation and Products Market Integrity MiFID- Secondary Markets Post Trading Type ...
Opinion to support supervisory convergence in the area of secondary markets in the context of the United Kingdom withdrawing from the European Union
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
13 July 2017
Reference ESMA35-43-762 Section Brexit MiFID- Investor Protection Supervisory convergence Type ...
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 ...
Suitability Peer Review - Annex
07 April 2016
Reference 2016/585 Section MiFID- Investor Protection Supervisory convergence Type Final Report ...
Suitability Peer Review - Final Report
07 April 2016
Reference 2016/584 Section MiFID- Investor Protection Supervisory convergence Type Final Report ...
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...
Best Execution under MiFID
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 ...
The European Securities and Markets Authority (ESMA) has conducted a peer review on how national regulators (national competent authorities or NCAs) supervise and enforce the MiFID provisions relating to investment firms’ obligation to provide best execution, or obtain the best possible result, for...
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...
MiFID – Conduct of Business, fair, clear and not misleading information
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 ...
The European Securities and Markets Authority (ESMA) has conducted a peer review of how national regulators (national competent authorities or NCAs) supervise MiFID conduct of business rules on providing fair, clear and not misleading information to clients. The peer review focused on NCAs’...
Statement by Steven Maijoor, Chair, European Securities and Markets Authority at the ECON Committee, European Parliament 23 September 2014
23 September 2014
the recently agreed MiFID II/MiFIR requirements into practically applicable rules. I will not run through all ... the almost 800 responses we have received to our MiFID II discussion and consultation papers and ESMA has ...
Dear Members of the European Parliament, Ladies and gentlemen, First of all, I would like to congratulate you on your election or re-election as a Member of the European Parliament and as a member of this important committee. Call it a “Single Capital Market” or “Capital Market Union”, the...
MiFID practices for firms selling complex products
07 February 2014
Reference 2014/146 Section MiFID- Investor Protection Warnings and publications for investors Type ...