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Q&As on MiFID II and MiFIR investor protection topics

ESMA35-43-349
04 December 2019
Main document esma35-43-349_mifid_ii_qas_on_investor_protection_topics.pdf Style ESMA document ... Reference ESMA35-43-349 Section MiFID- Investor Protection Supervisory convergence Type Q&A ...

Call for evidence on MiFID II product intervention powers

ESMA-35-43-2090
30 September 2019
esma-35-43-2090_call_for_evidence_on_mifid_ii_product_intervention_powers.pdf Style ESMA document ... Reference ESMA-35-43-2090 Section MiFID- Investor Protection Type Consultation Paper Main document ...

Call for evidence Impact of the inducements and costs and charges disclosure requirements under MiFID II

ESMA35-43-1905
17 July 2019
call_for_evidence_impact_of_the_inducements_and_costs_and_charges_disclosure_requirements_under_mifid_ii ... Reference ESMA35-43-1905 Section MiFID- Investor Protection Type Consultation Paper Main document ...

Consultation paper on compliance function guidelines

ESMA35-43-2019
15 July 2019
Reference ESMA35-43-2019 Section MiFID- Investor Protection Type Consultation Paper Main document ...

Consultation paper on integrating sustainability risks and factors in MiFID II

ESMA35-43-1210
19 December 2018
2018-esma35-43-1210-_ipisc_cp_mifid_ii_sustainability.pdf Style ESMA document ... Reference ESMA35-43-1210 Section MiFID- Investor Protection Type Consultation Paper Main document ...

Consulation paper on integrating sustainability risks and factors in MiFID II

ESMA35-43-1210
19 December 2018
2018-esma35-43-1210-_ipisc_cp_mifid_ii_sustainability.pdf Style ESMA document ... Reference ESMA35-43-1210 Section MiFID- Investor Protection Type Consultation Paper 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 ...

Call for Evidence – Potential product intervention measures on contracts for differences and binary options to retail clients

ESMA35-43-904
18 January 2018
Reference ESMA35-43-904 Section MiFID- Investor Protection Type Consultation Paper Main document ...

Consultation Paper on guidelines on certain aspects of the MiFID II suitability requirements

ESMA35-43-748
13 July 2017
Reference ESMA35-43-748 Section MiFID- Investor Protection Type Consultation Paper Main 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 ...

Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body and key function holders

2016/1529
28 October 2016
Reference 2016/1529 Section Guidelines and Technical standards MiFID- Investor Protection Type ...

Consultation Paper on Draft guidelines on MiFID II product governance requirements

2016/1436
05 October 2016
Reference 2016/1436 Section MiFID- Investor Protection Type Consultation Paper Main document ...

Draft guidelines for the assessment of knowledge and competence

2015/753
23 April 2015
The European Securities and Markets Authority is required by Article 25(9) of MiFID II to develop ... consultation, draft ESMA guidelines on certain aspects of MiFID II for the assessment of knowledge and ... set principles for individuals in MiFID firms that give investment advice or information about ...

Draft guidelines on complex debt instruments and structured deposits

2015/610
24 March 2015
firms that are subject to MiFID, in particular, investment firms and credit institutions performing ... the heading Legal Notice. Reference 2015/610 Section MiFID- Investor Protection Type Consultation Paper Main ... document 2015-610_cp_mifid_guidelines_complex_products.pdf Style ESMA document ...

Consultation paper on MiFID II/MiFIR - Annex B

2014/1570 Annex B
19 December 2014
consumer groups, as well as any market participant because the MiFID II and MiFIR requirements seek ... to the specific questions listed in the ESMA MiFID II/MiFIR Consultation Paper. Please note that ESMA will only be ... Protection MiFID- Secondary Markets Type Consultation Paper Main document 2014-1570_cp_mifid_ii ...

Consultation paper on MiFID II/MiFIR - part 1

2014/1570
19 December 2014
consumer groups, as well as any market participant because the MiFID II and MiFIR requirements seek ... to the specific questions listed in the ESMA MiFID II/MiFIR Consultation Paper. Please note that ESMA will only be ... MiFID- Secondary Markets Type Consultation Paper Main document 2014-1570_cp_mifid_ii.pdf Style ESMA ...

Consultation Paper on MiFID II/MiFIR

2014/549
22 May 2014
This publication is the first step in the process of translating the MiFID II/MiFIR requirements ... the ESMA MiFID II/MiFIR Consultation Paper.Please use this “form to reply”.The level 1 texts adopted by ... the European Council during its 13 May 2014 meeting are available here: MiFID II and MiFIR. These links are ...

Discussion Paper on MiFID II/MiFIR

2014/548
22 May 2014
This publication is the first step in the process of translating the MiFID II/MiFIR requirements ... the ESMA MiFID II/MiFIR Discussion Paper.Please use this “form to reply”.The level 1 texts adopted by ... the European Council during its 13 May 2014 meeting are available here: MiFID II and MiFIR. These links are ...

Draft Regulatory Technical Standards on information requirements for assessment of acquisitions and increases in holdings in investment firms (MiFID)

2013/918
09 July 2013
Directive (MiFID) requires Member States to make publicly available the information necessary to carry out ... adequate and proportionate information in order to assess the acquisition. Article 10a of MiFID, as amended ... to establish an exhaustive list of information referred to in Article 10b(4) of MiFID. ESMA is required ...

Guidelines on remuneration policies and practices (MiFID)

2012/570
17 September 2012
Reference 2012/570 Section MiFID- Investor Protection Type Consultation Paper Main document ...