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MiFID - Investor Protection

Final report - Guidelines on cross-selling practices

2015/1861
22 December 2015
Reference 2015/1861 Section MiFID- Investor Protection Type Final Report Main document ...
2015-1861_final_report_-_guidelines_on_cross-selling_practices.pdf
MiFID - Investor Protection

Final report on guidelines for the assessment of knowledge and competence

2015/1886
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. ...
2015-1886_-_final_report_on_guidelines_for_the_assessment_of_knowledge_and_competence.pdf
MiFID - Secondary Markets

Final Report - Draft ITS under MiFID II

2015/1858
11 December 2015
2015-1858_-_final_report_-_draft_implementing_technical_standards_under_mifid_ii.pdf Style ESMA document ... Reference 2015/1858 Section MiFID- Secondary Markets Type Final Report Main document ...
2015-1858_-_final_report_-_draft_implementing_technical_standards_under_mifid_ii.pdf
MiFID - Investor Protection

Final Report on complex debt instruments and structured deposits

2015/1783
30 November 2015
Reference 2015/1783 Section MiFID- Investor Protection Type Final Report Main document ...
2015-1783_-_final_report_on_complex_debt_instruments_and_structured_deposits.pdf
MiFID - Secondary Markets

Annex II - CBA - draft RTS and ITS on MiFID II and MiFIR

2015-ESMA-1464 Annex II
28 September 2015
Reference 2015-ESMA-1464 Annex II Section MiFID- Secondary Markets Type Final Report Main document ... 2015-esma-1464_annex_ii_-_cba_-_draft_rts_and_its_on_mifid_ii_and_mifir.pdf Style ESMA document ...
2015-esma-1464_annex_ii_-_cba_-_draft_rts_and_its_on_mifid_ii_and_mifir.pdf
MiFID - Investor Protection
Supervisory convergence

Best Execution under MiFID

2015/494
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 ...
2015-494_peer_review_report_on_best_execution_under_mifid_0.pdf
MiFID - Investor Protection
Innovation and Products

Structured Retail Products - Good practices for product governance arrangements

2014/332
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 ...
2014-332_esma_opinion_u_structured_retail_products_-_good_practices_for_product_governance_arrangements.pdf
MiFID - Investor Protection
Warnings and publications for investors

MiFID practices for firms selling complex products

2014/146
07 February 2014
Reference 2014/146 Section MiFID- Investor Protection Warnings and publications for investors Type ...
ipisc_complex_products_-_opinion_20140105.pdf
Guidelines and Technical standards
MiFID - Investor Protection

Final report Guidelines on certain aspects of the MiFID suitability requirements

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

The regulation of Alternative Trading Systems in Europe. A paper for the EU Commission

00-064c
25 September 2000
fdankers@europefesco.org Reference 00-064c Section MiFID- Secondary Markets Type Final Report Main document 00_064c.pdf ...
00_064c.pdf

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