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Statement on preparatory work of the European Securities and Markets Authority in relation to CFDs and binary options offered to retail clients
15 December 2017
Reference ESMA71-99-910 Section MiFID- Investor Protection Warnings and publications for investors ...
Peer review on certain aspects of the compliance function under Mi-FID I
29 November 2017
Reference ESMA42-111-4285 Section MiFID- Investor Protection Supervisory convergence Type Final ...
ESMA appoints new chairs to Standing Committees
29 September 2017
Corporate Information Innovation and Products Market Integrity MiFID- Secondary Markets Post Trading Type ...
Opinion to support supervisory convergence in the area of investment firms in the context of the United Kingdom withdrawing from the European Union
13 July 2017
Reference ESMA35-43-762 Section Brexit MiFID- Investor Protection Supervisory convergence Type ...
Product Intervention - General Statement
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 |  ESMA/2016/1166 Warning ... MiFID- Investor Protection Type Statement Main document ...
This statement provides an update on the European Securities and Markets Authority’s (ESMA) work in relation to the sale of contracts for differences (CFDs), binary options and other speculative products to retail investors. ESMA has been concerned about the provision of speculative products such...
Final report on guidelines on MiFID II product governance requirements
02 June 2017
Reference ESMA35-43-620 Section MiFID- Investor Protection Type Final Report Main document ...
ESMA appoints new chairs to Standing Committees
30 September 2016
2016/1408 Section Board of Supervisors Fund Management Market Integrity MiFID- Investor Protection Type ...
The Board of Supervisors of the European Securities and Markets Authority (ESMA) has appointed the following individuals to serve as chairs of its standing committees: Hannelore Lausch, Executive Director of the Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin), Germany, will chair the Market...
MiFID practices for firms selling financial instruments subject to the BRRD resolution regime
02 June 2016
Reference 2016/902 Section MiFID- Investor Protection Type Statement Main document ...
Draft RTS on indirect clearing arrangements under EMIR and MiFIR
26 May 2016
Reference 2016/725 Section Guidelines and Technical standards Post Trading MiFID- Secondary ...
Suitability Peer Review - Annex
07 April 2016
Reference 2016/585 Section MiFID- Investor Protection Supervisory convergence Type Final Report ...
Suitability Peer Review - Final Report
07 April 2016
Reference 2016/584 Section MiFID- Investor Protection Supervisory convergence Type Final Report ...
Review of Article 26 of RTS No 153/2013 with respect to MPOR for client accounts
05 April 2016
the legislative mandates related to the draft RTS (Annex I), the ESMA cost-benefit-analysis (Annex II) and ...
Reasons for publication This final report proposes amending Article 26 of the Commission Delegated Regulation No 153/2013 with regard to regulatory technical standards (RTS) on requirements for central counterparties (CCP) on the time horizons for the liquidation period which European Securities...
Final report - Guidelines on cross-selling practices
22 December 2015
Reference 2015/1861 Section MiFID- Investor Protection Type Final Report Main document ...
Final report on guidelines for the assessment of knowledge and competence
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. ...
Reasons for publication 1. Article 25(1) of Directive 2014/65/EU (MiFID II) states that Member States shall require investment firms to ensure and demonstrate to competent authorities on request that natural persons giving investment advice or providing information about financial instruments,...
Final Report on complex debt instruments and structured deposits
30 November 2015
Reference 2015/1783 Section MiFID- Investor Protection Type Final Report Main document ...
Best Execution under MiFID
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 ...
The European Securities and Markets Authority (ESMA) has conducted a peer review on how national regulators (national competent authorities or NCAs) supervise and enforce the MiFID provisions relating to investment firms’ obligation to provide best execution, or obtain the best possible result, for...
Opinion on draft RTS on the Clearing Obligation
29 January 2015
derivative contracts referred to in Article 4(1)(b)(ii) of EMIR. Background and Procedure On 1 October 2014, ...
Legal Basis According to Article 5(2) of Regulation (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories (EMIR), the European Securities and Markets Authority (ESMA) shall develop draft regulatory technical...
Structured Retail Products - Good practices for product governance arrangements
27 March 2014
Instruments Directive (MiFID) and its implementing measures (notably, Directive 2006/73/EC), the regulatory ... developments arising from the MiFID review or existing product rules that may apply to SRPs. 4. ESMA’s ... in particular, (i) the complexity of the SRPs they manufacture or distribute, (ii) the nature and ...
Legal basis 1. Regulation (EU) No 1095/2010 (ESMA Regulation) sets out the European Securities and Markets Authority’s (ESMA) scope of action, tasks and powers which include “enhancing customer protection”, and “foster[ing] investor protection”. 2. In order to continue delivering on this investor...
MiFID practices for firms selling complex products
07 February 2014
Reference 2014/146 Section MiFID- Investor Protection Warnings and publications for investors Type ...
Comparison of liability regimes in Member States in relation to the Prospectus Directive
10 June 2013
Report Comparison of liability regimes in Member States in relation to the Prospectus Directive Annex II Comparative ...
The European Securities and Markets Authority (ESMA) has published a report on the Comparison of liability regimes in Member States in relation to the Prospectus Directive. This is the first report of its kind and provides a comparison of liability regimes covering the EEA – comprising the 27 EU...