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Compliance table for Guidelines on MiFID II product governance requirements (ESMA35-43-620)

ESMA35-43-1076
11 February 2020
Reference ESMA35-43-1076 Section Guidelines and Technical standards MiFID- Investor Protection ...

Compliance table - Guidelines on cross-selling practices (ESMA/2016/574)

ESMA35-43-1968
11 February 2020
Reference ESMA35-43-1968 Section Guidelines and Technical standards MiFID- Investor Protection ...

Compliance table - Guidelines on complex debt instruments and structured deposits (ESMA/2015/1787)

ESMA35-43-1542
23 July 2019
Reference ESMA35-43-1542 Section Guidelines and Technical standards MiFID- Investor Protection ...

Statement Product Intervention

ESMA35-36-1743
12 July 2019
Reference ESMA35-36-1743 Section MiFID- Investor Protection Type Statement Main document ...

Compliance table on Guidelines on MiFID II suitability requirements

ESMA35-43-1430
20 June 2019
esma35-43-1430_compliance_table_on_guidelines_on_mifid_ii_suitability_requirements.pdf Style ESMA document ... Reference ESMA35-43-1430 Section Guidelines and Technical standards MiFID- Investor Protection ...

Brexit Update March 2019

ESMA90-1-83
28 March 2019
Reference ESMA90-1-83 Section Brexit Credit Rating Agencies MiFID- Secondary Markets MiFID II ...

Brexit Statement - information to clients

ESMA35-43-1328
19 December 2018
Reference ESMA35-43-1328 Section Brexit MiFID- Investor Protection Type Statement Main document ...

ESMA new SC chairs

ESMA71-99-1058
07 November 2018
Reference ESMA71-99-1058 Section Fund Management MiFID- Investor Protection Risk Analysis & ...

Compliance table for Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body

ESMA35-43-1215
06 November 2018
Reference ESMA35-43-1215 Section Guidelines and Technical standards Joint Committee MiFID ...

Statement of the EBA and ESMA on the treatment of retail holdings of debt financial instruments subject to the Bank Recovery and Resolution Directive

ESMA71-99-991
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

ESMA71-99-910
15 December 2017
Reference ESMA71-99-910 Section MiFID- Investor Protection Warnings and publications for investors ...

Product Intervention - General Statement

ESMA35-36-885
28 June 2017
being discussed for (i) CFDs and rolling spot forex and (ii) binary options include proposals that take ... speculative products to retail investors under MiFID published 31 March 2017 | [2] ESMA/2016/1166  Warning ... MiFID- Investor Protection Type Statement Main document ...

Compliance table - Guidelines for the assessment of knowledge and competence (ESMA/2015/1886)

2016/1093
15 December 2016
Reference 2016/1093 Section Guidelines and Technical standards MiFID- Investor Protection Type ...

ESMA appoints new chairs to Standing Committees

2016/1408
30 September 2016
2016/1408 Section Board of Supervisors Fund Management Market Integrity MiFID- Investor Protection Type ...

MiFID practices for firms selling financial instruments subject to the BRRD resolution regime

2016/902
02 June 2016
Reference 2016/902 Section MiFID- Investor Protection Type Statement Main document ...

Guidelines compliance table for Guidelines on remuneration policies and practices (MiFID)

2014-1213
07 October 2014
Reference 2014-1213 Section MiFID- Investor Protection Type Compliance table Main document ... 2014-1213_0.pdf Style ESMA document Related documents Guidelines on remuneration policies and practices (MiFID ... ) Guidelines on remuneration policies and practices (MiFID) ...

Compliance table - compliance guidelines

2013/923
24 April 2014
Reference 2013/923 Section MiFID- Investor Protection Guidelines and Technical standards Type ... Compliance table Main document 2013-923_guidelines_compliance_table-guidelines_on_certain_aspects_of_the_mifid ...

Compliance table - suitability guidelines

2013/922
24 April 2014
Reference 2013/922 Section MiFID- Investor Protection Guidelines and Technical standards Type ... Compliance table Main document 2013-922_guidelines_compliance_table-guidelines_on_certain_aspects_of_the_mifid ...