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Update of the guidelines on the application of the endorsement regime under Article 4(3) of the Credit Rating Agencies Regulation

33-9-149
04 April 2017
equivalence. This Methodological Framework is provided in Annex II of the 2011 Guidelines on Endorsement. By ...

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 ...

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 ...

Technical advice to the Commission on fees for TRs under SFTR and on certain amendments of for fees under EMIR

2016/1672
19 December 2016
Annex II includes the Commission’s mandate to ESMA. The amendments to fees under EMIR that are consulted ...

Consultation Paper - Draft RTS on package orders for which there is a liquid market

2016/1562
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

2016/1529
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

2016/1440
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

2016/1437
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

2016/1436
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

2016/1422
03 October 2016
MiFID- Secondary Markets Type Consultation Paper Main document 2016-1422_cp_on_rts_specifying_the_scope ...

Discussion Paper on the trading obligation for derivatives under MiFIR

2016/1389
20 September 2016
Reference 2016/1389 Section MiFID- Secondary Markets Type Consultation Paper Main document ...

Guidelines on participant default rules and procedures under CSDR

2016/732
31 May 2016
the proposed guidelines. Annex I sets out a summary of the questions contained in this paper and Annex II ...

Guidelines on Transaction Reporting Reference Data Order Record Keeping and Clock Synchronisation

2015/1909
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 ...

Consultation Paper on Draft implementing technical standards under MiFID II

2015/1301
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 ...

Consultation Paper on draft regulatory technical standards under the ELTIF Regulation

2015/1239
31 July 2015
document will be of interest to (i) ELTIF managers and their trade associations, (ii) alternative ...

Guidelines on sound remuneration policies under the UCITS Directive and AIFMD

2015/1172
23 July 2015
remuneration are marked up against the AIFMD provisions. Annex II sets out the list of questions contained in ...

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 ...

Addendum Consultation Paper - MiFID II/MiFIR

2015/319
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 ...

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 ...