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SMSG advice on ESMA’s CP on the MiFID II compliance function

ESMA22106-2002
06 November 2019
Reference ESMA22106-2002 Section Securities and Markets Stakeholder Group Type SMSG Advice Main document smsg_advice_on_compliance_requirements.pdf Style ESMA document ...

Q&A on MiFIR data reporting

ESMA70-1861941480-56
07 October 2019
Reference ESMA70-1861941480-56 Section MiFID- Secondary Markets Type Q&A Main document ...

Q&As on MiFID II and MiFIR investor protection topics

ESMA35-43-349
03 October 2019
esma35-43-349_mifid_ii_qas_on_investor_protection_topics.pdf Style ESMA document ... Reference ESMA35-43-349 Section MiFID- Investor Protection Type Q&A Main document ...

Q&A on MiFID II and MiFIR market structures topics

ESMA70-872942901-38
02 October 2019
Reference ESMA70-872942901-38 Section MiFID- Secondary Markets Type Q&A Main document ...

Q&A on MiFID II and MiFIR transparency topics

ESMA70-872942901-35
02 October 2019
Reference ESMA70-872942901-35 Section MiFID- Secondary Markets Type Q&A Main document ...

Q&A on MiFID II and MiFIR commodity derivatives topics

ESMA70-872942901-36
27 March 2019
Reference ESMA70-872942901-36 Section MiFID- Secondary Markets Type Q&A Main document ...

Technical Q&As on product intervention measures on CFDs and binary options

ESMA35-36-1262
09 November 2018
Reference ESMA35-36-1262 Section MiFID- Investor Protection Type Q&A Main document ...

MiFID II Q&A on post-trading issues

ESMA70-151-957
14 December 2017
Reference ESMA70-151-957 Section MiFID- Secondary Markets Post Trading Type Q&A Main document ... esma70-151-957_qas_on_mifid_post_trading.pdf Style ESMA document ...

SMSG Advice on Guidelines on certain aspects of the MiFID II suitability requirements

ESMA22-106-474
17 November 2017
document esma22-106-474_smsg_advice_esma_mifid_ii_suitability_guidelines.pdf Style ESMA document ...

Q&A Relating to the provision of CFDs and other speculative products to retail investors under MiFID

ESMA35-36-794
31 March 2017
Reference ESMA35-36-794 Section MiFID- Investor Protection Type Q&A Main document ... esma35-36-794_qa_on_cfds_and_other_speculative_products_mifid.pdf Style ESMA document ...

SMSG Advice - Response to ESMA’s Consultation Paper on MiFID II product governance

2016/SMSG/024
17 January 2017
document 2016-smsg-024_smsg_advice_on_mifid_ii_product_governance.pdf Style ESMA document ...

2016-1673 Q&A on MiFID II commodity derivatives topics

2016/1673
19 December 2016
2016-1673_qa_mifid_ii_on_commodity_derivatives_topics.docx.pdf Style ESMA document ... Reference 2016/1673 Section MiFID- Secondary Markets Type Q&A Main document ...

SMSG Advice on Assessment of Knowledge and Competence in the Context of MiFID II

2015/SMSG/20
24 July 2015
Reference 2015/SMSG/20 Section Securities and Markets Stakeholder Group Type SMSG Advice Main document 2015-smsg-020-advice_on_knowledge_and_competence_requirements.pdf Style ESMA document ...

SMSG Contribution to the Green Paper on CMU - PART II

2015/SMSG/017 PART II
19 May 2015
Reference 2015/SMSG/017 PART II Section Securities and Markets Stakeholder Group Type SMSG Advice ... 2015-smsg-017-esma_smsg_-_part_ii_contribution_to_the_green_paper_on_cmu_quick_wins_comments.pdf Style ESMA document ...

SMSG Response to ESMA’s Consultation Paper on Draft Regulatory Technical Standards on prospectus related issues under the Omnibus II Directive

2015/SMSG/003
22 January 2015
Reference 2015/SMSG/003 Section Securities and Markets Stakeholder Group Type SMSG Advice Main document 2015-smsg-003_smsg_advice_prospectus.pdf Style ESMA document ...

SMSG advice - Investor Protection Aspects of the Consultation Paper on MiFID II and MiFIR

2014/SMSG/35
03 September 2014
Reference 2014/SMSG/35 Section Securities and Markets Stakeholder Group Type SMSG Advice Main document 2014-smsg-035.pdf Style ESMA document ...

SMSG advice - Trading Venues Aspects of the Consultation Paper on MiFID II and MiFIR

2014/SMSG/36
03 September 2014
Reference 2014/SMSG/36 Section Securities and Markets Stakeholder Group Type SMSG Advice Main document 2014-smsg-036.pdf Style ESMA document ...

SMSG advice - Transparency and trading obligations (equities) aspects of the Consultation Paper and Discussion Paper on MiFID II/MiFIR

2014/SMSG/37
03 September 2014
Reference 2014/SMSG/37 Section Securities and Markets Stakeholder Group Type SMSG Advice Main document 2014-smsg-037.pdf Style ESMA document ...

MiFID Q&A in the area of investor protection and intermediaries

2012/382
22 June 2012
Reference 2012/382 Section MiFID- Investor Protection Type Q&A Main document 2012-382.pdf ...

Advice on Guidelines on certain aspects of the MiFID compliance function requirements

2012/SMSG/12
28 February 2012
Reference 2012/SMSG/12 Section Securities and Markets Stakeholder Group Type SMSG Advice Main document 2012-smsg-12_0.pdf Style ESMA document ...