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Discussion Paper on the trading obligation for derivatives under MiFIR

2016/1389
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

2016/1167
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

2016/903
02 June 2016
Reference 2016/903 Section MiFID- Investor Protection Type Press Release Main document ...

Guidelines on participant default rules and procedures under CSDR

2016/732
31 May 2016
the proposed guidelines. Annex I sets out a summary of the questions contained in this paper and Annex II ...

ESMA issues opinion on MiFID II standards on ancillary activities

2016/742
30 May 2016
Reference 2016/742 Section Press Releases MiFID- Secondary Markets Type Press Release Main ...

Press release MiFID II RTS

2016/566
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

2016/582
07 April 2016
Reference 2016/582 Section MiFID- Investor Protection Press Releases Supervisory convergence Type ...

ESMA not to exempt ETD under MiFID II

2016/566
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

2015/1909
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 ...

Press Release Cross Selling Guidelines

2015/1872
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 ...

Press Release - MIFID II MAR CSDR

2015/1466
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

2015/1301
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 ...

Consultation Paper on draft regulatory technical standards under the ELTIF Regulation

2015/1239
31 July 2015
document will be of interest to (i) ELTIF managers and their trade associations, (ii) alternative ...

Guidelines on sound remuneration policies under the UCITS Directive and AIFMD

2015/1172
23 July 2015
remuneration are marked up against the AIFMD provisions. Annex II sets out the list of questions contained in ...

ESAs - main risks to EU financial market stability have intensified

JC/2015/02
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 ...

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 ...

Press release - ESMA launches centralised data projects for MiFIR and EMIR

2015/674
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

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 ...

ESMA publishes review on best execution supervisory practices under MiFID

2015/495
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 ...

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 ...