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Discussion Paper on the trading obligation for derivatives under MiFIR
20 September 2016
Reference 2016/1389 Section MiFID- Secondary Markets Type Consultation Paper Main document ...
Press release - ESMA issues warning on sale of speculative products to retail investors
25 July 2016
Reference 2016/1167 Section MiFID- Investor Protection Type Press Release Main document ...
ESMA reminds firms of responsibilities when selling bail-in securities
02 June 2016
Reference 2016/903 Section MiFID- Investor Protection Type Press Release Main document ...
Guidelines on participant default rules and procedures under CSDR
31 May 2016
the proposed guidelines. Annex I sets out a summary of the questions contained in this paper and Annex II ...
The European Securities and Markets Authority (ESMA) under Article 41(4) of Regulation (EU) No 909/2014 of the European Parliament and of the Council on improving securities settlement in the European Union and on central securities depositories and amending Directives 98/26/EC and 2014/65/EU and...
ESMA issues opinion on MiFID II standards on ancillary activities
30 May 2016
Reference 2016/742 Section Press Releases MiFID- Secondary Markets Type Press Release Main ...
Press release MiFID II RTS
02 May 2016
document 2016-566_press_release_-_mifid_ii_rts.pdf Style ESMA document ... Reference 2016/566 Section Press Releases MiFID- Secondary Markets Type Press Release Main ...
ESMA finds room for improvement in national supervision of investment advice to retail clients
07 April 2016
Reference 2016/582 Section MiFID- Investor Protection Press Releases Supervisory convergence Type ...
ESMA not to exempt ETD under MiFID II
04 April 2016
document 2016-566_esma_not_to_exempt_etd_under_mifid_ii.pdf Style ESMA document ... Reference 2016/566 Section Press Releases MiFID- Secondary Markets Type Press Release Main ...
Guidelines on Transaction Reporting Reference Data Order Record Keeping and Clock Synchronisation
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 ...
The European Securities and Markets Authority's (ESMA) consultation paper seeks stakeholders’ views on the draft guidance on the application of the provisions of the ESMA RTS on transaction reporting, instrument reference data, order record keeping and clock synchronisation (RTS 22, 23, 24 and 25...
Press Release Cross Selling Guidelines
22 December 2015
Practices under MiFID II (guidelines) to ensure investors are treated fairly when an investment firm offers ... guidelines under MiFID II in order to meet its 3 January 2016 deadline. While ESMA’s guidelines take into ... cross-selling practices under MIFID II. Further, the guidelines are addressed to national regulators supervising ...
The European Securities and Markets Authority (ESMA) has published its Guidelines on Cross-Selling Practices under MiFID II (guidelines) to ensure investors are treated fairly when an investment firm offers two or more financial products or services as part of a package. The guidelines include...
Press Release - MIFID II MAR CSDR
28 September 2015
2015-1466_press_release_-_final_mifid_ii_mar_csdr_0.pdf Style ESMA document ...
Consultation Paper on Draft implementing technical standards under MiFID II
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 ...
Who should read this paper? This document will be of interest to all stakeholders involved in the securities markets. It is primarily of interest to competent authorities and firms that are subject to MiFID II and MiFIR – in particular, investment firms and credit institutions performing investment...
Consultation Paper on draft regulatory technical standards under the ELTIF Regulation
31 July 2015
document will be of interest to (i) ELTIF managers and their trade associations, (ii) alternative ...
Responding to this paper ESMA invites comments on all matters in this paper and in particular on the specific questions summarised in Annex I. Comments are most helpful if they: 1. respond to the question stated;2. indicate the specific question to which the comment relates;3. contain a clear...
Guidelines on sound remuneration policies under the UCITS Directive and AIFMD
23 July 2015
remuneration are marked up against the AIFMD provisions. Annex II sets out the list of questions contained in ...
Reasons for publication Article 14a(4) of Directive 2009/65/EC (“UCITS Directive”), as amended by Directive 2014/91/EU (“UCITS V Directive”) provides that ESMA shall issue guidelines addressed to competent authorities or financial market participants concerning the application of the remuneration...
ESAs - main risks to EU financial market stability have intensified
05 May 2015
Directive (MiFID II) and Regulation (MiFIR), the work on the implementation of the Capital Requirements ... the Deposit-Guarantee Schemes Directive (DGS) and the Solvency II Directive, as well as the European Commission’s plan ... securities sectors, such as the Comprehensive Assessment, the insurance sector stress test and Solvency II ...
The Joint Committee of the European Supervisory Authorities (ESAs) published its fifth Report on Risks and Vulnerabilities in the EU Financial System. Overall, the report found that in the past six months, risks affecting the EU financial system have not changed in substance, but have further...
Draft guidelines for the assessment of knowledge and competence
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 ...
The European Securities and Markets Authority is required by Article 25(9) of MiFID II to develop guidelines specifying criteria for the assessment of knowledge and competence of the investment firm’s personnel giving investment advice or information about financial instruments, investment services...
Press release - ESMA launches centralised data projects for MiFIR and EMIR
01 April 2015
Reference 2015/674 Section MiFID- Secondary Markets Press Releases Type Press Release Main ... document 20150326_2015-674_esma_launches_centralised_data_projects_for_mifid_and_emir.pdf Style ESMA ...
Draft guidelines on complex debt instruments and structured deposits
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 ...
Who should read this paper This paper is primarily of interest to competent authorities and firms that are subject to MiFID, in particular, investment firms and credit institutions performing investment services and activities. This paper is also important for trade associations, investors, and...
ESMA publishes review on best execution supervisory practices under MiFID
25 February 2015
regulators (national competent authorities or NCAs) supervise and enforce the MiFID provisions relating ... Luxembourg, Malta, Poland and Spain. Reference 2015/495 Section MiFID- Investor Protection Press Releases ...
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...
Addendum Consultation Paper - MiFID II/MiFIR
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 ...
The European Securities and Markets Authority (ESMA) has published today a consultation paper (CP) which complements the transparency section of the CP on MiFID II/MiFIR published on 19 December 2014. This CP covers the following non-equity asset classes: foreign exchange derivatives; credit...