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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 ...

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 ...

Guidelines on asset segregation under the AIFMD

2014/1326
01 December 2014
associations, (ii) alternative investment funds managers and their trade associations, as well as (iii) ...

Consultation paper on draft guidelines on the application of C6 and C7 of Annex I of MiFID

2014/1189
29 September 2014
Reference 2014/1189 Section MiFID- Secondary Markets Type Consultation Paper Main document ...

Consultation paper on draft Implementing Technical Standards on main indices and recognised exchanges under the Capital Requirements Regulation

2014/1188
29 September 2014
Section MiFID- Secondary Markets Type Consultation Paper Main document cp_crr_its_2014.pdf Style ESMA ...

Consultation paper on draft RTS on prospectus related issues under the Omnibus II Directive

2014/1186
26 September 2014
2014-1186_consultation_paper_on_omnibus_ii_rts.pdf Style ESMA document ...

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 ...

ESMA Guidelines on Alternative Performance Measures

2014/175
13 February 2014
seek their views on such revision. Section II “Introduction” indicates the reasons for which ESMA ... summarised in annex II. Next steps ESMA will consider the feedback it receives to this consultation in 2014 ...

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 ...

Comparative table of responses from EEA States

2013/619 Annex II
10 June 2013
Reference 2013/619 Annex II Section Prospectus Type Report Main document 2013-619b_ann_ii_report ... _liability_regimes_under_the_prospectus_directive_annex_ii_published_on_website.pdf Style ESMA document ...

Guidelines on remuneration policies and practices (MiFID)

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

Draft Guidelines on sound remuneration policies under the AIFMD

2012/406
28 June 2012
Annex II of the AIFMD establishes a set of rules (largely inspired from the provisions ... to develop guidelines on sound remuneration policies which comply with Annex II of the AIFMD. This ...

Consultation paper on guidelines on certain aspects of the MiFID compliance function requirements

2011/446
22 December 2011
Reference 2011/446 Section MiFID- Investor Protection Type Consultation Paper Main document ...

Consultation paper on guidelines on certain aspects of the MiFID suitability requirements

2011/445
22 December 2011
Reference 2011/445 Section MiFID- Investor Protection Type Consultation Paper Main document ...

Consultation paper - ESMA’s draft Regulatory Technical Standards on the presentation of the information that credit rating agencies shall disclose in accordance with Article 11(2) and point 1 of Part II of Section E of Annex I to Regulation (EC) No 1060/2

2011/304
19 September 2011
Reference 2011/304 Section Credit Rating Agencies Type Consultation Paper Main document 2011_304.pdf Style ESMA document ...