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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. ...

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 ...

Technical Advice to the Commission on MiFID II and MiFIR

19 December 2014
of Markets in Financial Instruments Directive (MiFID II) and the Markets in Financial Instruments Regulation ... (MiFIR). The mandate focuses on technical issues which follow from MiFID II and MiFIR and is available on ... months after the entry into force of MiFID II and MiFIR (2 July 2014). Contents This final report follows ...

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 ...

MiFID practices for firms selling complex products

07 February 2014
Reference 2014/146 Section MiFID- Investor Protection Warnings and publications for investors Type ...

Final report Guidelines on certain aspects of the MiFID suitability requirements

06 July 2012
Reference 2012/387 Section Guidelines and Technical standards MiFID- Investor Protection Type ...