REFINE YOUR SEARCH
Type of document
Update of the guidelines on the application of the endorsement regime under Article 4(3) of the Credit Rating Agencies Regulation
04 April 2017
equivalence. This Methodological Framework is provided in Annex II of the 2011 Guidelines on Endorsement. By ...
Endorsement is one of two regimes provided in the CRA Regulation that allow credit ratings issued in a third country to be used for regulatory purposes in the EU – the other being equivalence/certification. Article 21(3) of the CRA Regulation requires ESMA to issue and update guidelines on the...
Q&A Relating to the provision of CFDs and other speculative products to retail investors under MiFID
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 ...
2016-1673 Q&A on MiFID II commodity derivatives topics
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 ...
Technical advice to the Commission on fees for TRs under SFTR and on certain amendments of for fees under EMIR
19 December 2016
Annex II includes the Commission’s mandate to ESMA. The amendments to fees under EMIR that are consulted ...
Reasons for publication On 15 January 2016 the European Securities and Markets Authority (ESMA) received a formal request from the European Commission (Commission) to provide technical advice to assist the Commission in formulating a Regulation on fees for Trade Repositories (TRs) under SFTR by a...
Consultation Paper - Draft RTS on package orders for which there is a liquid market
10 November 2016
Reference 2016/1562 Section MiFID- Secondary Markets Type Consultation Paper Main document ...
Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body and key function holders
28 October 2016
Reference 2016/1529 Section Guidelines and Technical standards MiFID- Investor Protection Type ...
Guidelines on the calibration, publication and reporting of trading halts
06 October 2016
Reference 2016/1440 Section MiFID- Secondary Markets Type Consultation Paper Main document ...
Consultation Paper on Guidelines on the management body of market operators and data reporting services providers
05 October 2016
Reference 2016/1437 Section MiFID- Secondary Markets Type Consultation Paper Main document ...
Consultation Paper on Draft guidelines on MiFID II product governance requirements
05 October 2016
Reference 2016/1436 Section MiFID- Investor Protection Type Consultation Paper Main document ...
CP on RTS specifying the scope of the consolidated tape for non-equity financial instruments
03 October 2016
MiFID- Secondary Markets Type Consultation Paper Main document 2016-1422_cp_on_rts_specifying_the_scope ...
This consultation paper (CP) seeks stakeholders’ views on the draft Regulatory Technical Standard (RTS) ESMA is required to draft under Article 65(8)(c) of Directive 2014/65/EU with regard to the consolidated tape for non-equity instruments. The input from stakeholders will help ESMA in finalising...
Discussion Paper on the trading obligation for derivatives under MiFIR
20 September 2016
Reference 2016/1389 Section MiFID- Secondary Markets Type Consultation Paper Main document ...
Guidelines on participant default rules and procedures under CSDR
31 May 2016
the proposed guidelines. Annex I sets out a summary of the questions contained in this paper and Annex II ...
The European Securities and Markets Authority (ESMA) under Article 41(4) of Regulation (EU) No 909/2014 of the European Parliament and of the Council on improving securities settlement in the European Union and on central securities depositories and amending Directives 98/26/EC and 2014/65/EU and...
Guidelines on Transaction Reporting Reference Data Order Record Keeping and Clock Synchronisation
23 December 2015
technical standards which were requested by the market participants during the consultations on the MiFID II ... expects to publish in the second half of 2016. Reference 2015/1909 Section MiFID- Secondary Markets Type ...
The European Securities and Markets Authority's (ESMA) consultation paper seeks stakeholders’ views on the draft guidance on the application of the provisions of the ESMA RTS on transaction reporting, instrument reference data, order record keeping and clock synchronisation (RTS 22, 23, 24 and 25...
Consultation Paper on Draft implementing technical standards under MiFID II
31 August 2015
Consultation Paper Main document 2015-esma-1301_consultation_paper_on_mifid_ii_its.pdf Style ESMA document ... Related documents Reply form to the Consultation on Draft implementing technical standards under MiFID II ... the securities markets. It is primarily of interest to competent authorities and firms that are subject to MiFID ...
Who should read this paper? This document will be of interest to all stakeholders involved in the securities markets. It is primarily of interest to competent authorities and firms that are subject to MiFID II and MiFIR – in particular, investment firms and credit institutions performing investment...
Consultation Paper on draft regulatory technical standards under the ELTIF Regulation
31 July 2015
document will be of interest to (i) ELTIF managers and their trade associations, (ii) alternative ...
Responding to this paper ESMA invites comments on all matters in this paper and in particular on the specific questions summarised in Annex I. Comments are most helpful if they: 1. respond to the question stated;2. indicate the specific question to which the comment relates;3. contain a clear...
Guidelines on sound remuneration policies under the UCITS Directive and AIFMD
23 July 2015
remuneration are marked up against the AIFMD provisions. Annex II sets out the list of questions contained in ...
Reasons for publication Article 14a(4) of Directive 2009/65/EC (“UCITS Directive”), as amended by Directive 2014/91/EU (“UCITS V Directive”) provides that ESMA shall issue guidelines addressed to competent authorities or financial market participants concerning the application of the remuneration...
Draft guidelines for the assessment of knowledge and competence
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 ...
The European Securities and Markets Authority is required by Article 25(9) of MiFID II to develop guidelines specifying criteria for the assessment of knowledge and competence of the investment firm’s personnel giving investment advice or information about financial instruments, investment services...
Draft guidelines on complex debt instruments and structured deposits
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 ...
Who should read this paper This paper is primarily of interest to competent authorities and firms that are subject to MiFID, in particular, investment firms and credit institutions performing investment services and activities. This paper is also important for trade associations, investors, and...
Addendum Consultation Paper - MiFID II/MiFIR
18 February 2015
which complements the transparency section of the CP on MiFID II/MiFIR published on 19 December 2014. ... B of the CP on MiFID II/MiFIR on 19 December 2014, where rules and tables were included for bonds, structured ... should be read in conjunction with ESMA’s CP on MiFID II/MiFIR and the related Annex B published on 19 ...
The European Securities and Markets Authority (ESMA) has published today a consultation paper (CP) which complements the transparency section of the CP on MiFID II/MiFIR published on 19 December 2014. This CP covers the following non-equity asset classes: foreign exchange derivatives; credit...
Consultation Paper – Annex A - High level cost-benefit-analysis draft technical standards (MiFID/MiFIR)
2014/1570 Annex A
22 December 2014
Reference 2014/1570 Annex A Section MiFID- Secondary Markets Type Consultation Paper Main document ...