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Audit
MiFID - Investor Protection
Sustainable finance
Final report on integrating sustainability risks and factors in the MIFID II
ESMA35-43-1737
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 ...
MiFID - Investor Protection
Guidelines on certain aspects of the MiFID II suitability requirements
ESMA35-43-869
28 May 2018
Reference ESMA35-43-869 Section MiFID- Investor Protection Type Final Report Main document ...
MiFID - 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 ...
MiFID - Investor Protection
Final report on guidelines on MiFID II product governance requirements
ESMA35-43-620
02 June 2017
Reference ESMA35-43-620 Section MiFID- Investor Protection Type Final Report Main document ...
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 ...
Post Trading
Review of Article 26 of RTS No 153/2013 with respect to MPOR for client accounts
2016/429
05 April 2016
the legislative mandates related to the draft RTS (Annex I), the ESMA cost-benefit-analysis (Annex II) and ...
MiFID - Investor Protection
Final report - Guidelines on cross-selling practices
2015/1861
22 December 2015
Reference 2015/1861 Section MiFID- Investor Protection Type Final Report Main document ...
MiFID - Investor Protection
Final report on guidelines for the assessment of knowledge and competence
2015/1886
17 December 2015
Reasons for publication 1. Article 25(1) of Directive 2014/65/EU (MiFID II) states that ... 2. The European Securities and Markets Authority is required by Article 25(9) of MiFID II to develop ... 7. Section II briefly summarises the feedback to the CP and the main responses from ESMA. ...
MiFID - Investor Protection
Final Report on complex debt instruments and structured deposits
2015/1783
30 November 2015
Reference 2015/1783 Section MiFID- Investor Protection Type Final Report Main document ...
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 ...
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 ...