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MiFID Q&A in the area of investor protection and intermediaries

2012/382
22 June 2012
Reference 2012/382 Section MiFID- Investor Protection Type Q&A Main document 2012-382.pdf ...

Technical advice on CRA regulatory equivalence - US, Canada and Australia

2012/259
18 April 2012
to the European Commission in respect of the equivalence between the US (Part I), Canada (Part II) and Australia ...

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 ...

Consultation paper - Guidelines on systems and controls in a highly automated trading environment for trading platforms, investment firms and competent authorities

2011/224
20 July 2011
Reference 2011/224 Section MiFID- Secondary Markets Type Consultation Paper Main document ...

Consultation paper - CESR Technical Advice to the European Commission in the context of the MiFID Review – Client Categorisation

10-831
12 July 2010
Reference 10-831 Section CESR Archive Type Consultation Paper Main document 10_831.pdf Style ESMA document ...

Consultation paper - CESR Technical Advice to the European Commission in the Context of the MiFID Review: Non-equity markets transparency

10-510
07 May 2010
Reference 10-510 Section CESR Archive Type Consultation Paper Main document 10_510.pdf Style ESMA document ...

Questions and answers on MiFID: Common positions agreed by CESR Members in the area of the Secondary Markets Standing Committee

10-591
06 May 2010
Reference 10-591 Section CESR Archive Type Q&A Main document 10_591.pdf Style ESMA document ...

Question and Answers - Understanding the definition of advice under MiFID

10-293
19 April 2010
Reference 10-293 Section CESR Archive Type Q&A Main document 10_293.pdf Style ESMA document ...

Consultation paper - CESR technical advice in the context of the MiFID review –Investor Protection and Intermediaries

10-417
13 April 2010
Reference 10-417 Section CESR Archive Type Consultation Paper Main document 10_417.pdf Style ESMA document ...

Consultation paper - CESR technical advice in the context of the MiFID review –Transaction Reporting

10-292
13 April 2010
Reference 10-292 Section CESR Archive Type Consultation Paper Main document 10_292.pdf Style ESMA document ...

Consultation Paper - CESR technical advice to the Commission in the context of the MiFID Review - Equity Markets

10-394
13 April 2010
Reference 10-394 Section CESR Archive Type Consultation Paper Main document 10_394.pdf Style ESMA document ...

Questions and Answers - MiFID complex and non complex financial instruments for the purposes of the Directive’s appropriateness requirements

09-559
03 November 2009
Reference 09-559 Section CESR Archive Type Q&A Main document 09_559.pdf Style ESMA document ...

Consultation paper - Guidance on Registration Process, Functioning of Colleges, Mediation Protocol, Information set out in Annex II, Information set for the application for Certification and for the assessment of CRAs systemic importance

09-955
21 October 2009
Reference 09-955 Section CESR Archive Type Consultation Paper Main document 09_955.pdf Style ESMA document ...

Consultation paper - Understanding the definition of advice under MiFID

09-665
14 October 2009
Reference 09-665 Section CESR Archive Type Consultation Paper Main document 09_665.pdf Style ESMA document ...

Consultation paper - MiFID complex and non-complex financial instruments for the purposes of the Directive’s appropriateness requirements

09-295
14 May 2009
Reference 09-295 Section CESR Archive Type Consultation Paper Main document 09_295.pdf Style ESMA document ...

Call for evidence - Impact of MiFID on secondary markets functioning

08-872
03 November 2008
Reference 08-872 Section CESR Archive Type Consultation Paper Main document 08_872.pdf Style ESMA document ...

Call for evidence - Review of the scope of the MiFID transaction reporting obligation

08-873
03 November 2008
Reference 08-873 Section CESR Archive Type Consultation Paper Main document 08_873.pdf Style ESMA document ...

Consultation Paper - Improving the functioning of the MiFID database

07-832
17 December 2007
Reference 07-832 Section CESR Archive Type Consultation Paper Main document 07_832.pdf Style ESMA document ...