ESMA Documents


02/01/2020

ESMA Q & A on MiFID II and MiFIR Investor Protection and Intermediaries Topics

03/10/2019

ESMA Q & A on MiFID II and MiFIR Investor Protection and Intermediaries Topics

17/07/2019

Call for evidence - Impact of the inducements and costs and charges disclosure requirements under MiFID II

11/07/2019

Public Statement - Statement of ESMA on the application of product intervention measures under Article 40 and 42 of Regulation (EU) No. 600/2014 (1) (MiFIR) by CFD providers

11/07/2019

Q&A On MiFID II and MiFIR investor protection and intermediaries topics

15/07/2019

Consultation Paper - Guidelines on certain aspects of the MiFID II compliance function requirements

29/05/2019

Q&A On MiFID II and MiFIR investor protection and intermediaries topics

30/04/2019

Final Report - ESMA’s technical advice to the European Commission on integrating sustainability risks and factors in MiFID II

12/04/2019

Q&A On MiFID II and MiFIR investor protection and intermediaries topics

12/11/2018

MiFID II Supervisory briefing - Appropriateness and execution-only

09/11/2018

Q&A On ESMA’s temporary product intervention measures on the marketing, distribution or sale of CFDs and Binary options to retail clients

03/10/2018

Q&A On MiFID II and MiFIR investor protection and intermediaries topics

28/09/2018

Q&A On ESMA’s temporary product intervention measures on the marketing, distribution or saleof CFDs and Binary options to retail clients

30/07/2018

Q&A On ESMA’s temporary product intervention measures on the marketing, distribution or sale of CFDs and Binary options to retail clients

13/07/2018

Q&A On ESMA’s temporary product intervention measures on the marketing, distribution or sale of CFDs and Binary options to retail clients

13/07/2018

Q&A On MiFID II and MiFIR investor protection and intermediaries topics

01/06/2018

Q&A On ESMA’s temporary product intervention measures on the marketing, distribution or sale of CFDs and Binary options to retail clients

30/05/2018


Statement of the EBA and ESMA on the treatment of retail holdings of debt financial instruments subject to the Bank Recovery and Resolution Directive

28/05/2018

Final Report - Guidelines on certain aspects of the MiFID II suitability requirements

25/05/2018

Final Report - Guidelines on certain aspects of the MiFID II suitability requirements

23/03/2018

Q&A On MiFID II and MiFIR investor protection and intermediaries topics

18/12/2017


Q&A On MiFID II and MiFIR investor protection and intermediaries topics

20/11/2017


Q&A On MiFID II and MiFIR investor protection and intermediaries topics

16/11/2017


Q&A On MiFID II and MiFIR investor protection and intermediaries topics

11/10/2017

Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body and key function holders under Directive 2013/36/EU and Directive 2014/65/EU
Annex template for the assessment of collective suitability

11/10/2017

Q&As on MiFID II and MiFIR investor protection topics

12/07/2017

Consultation Paper Guidelines on certain aspects of the MiFID II Suitability Requirements

10/07/2017

Questions and Answers on MiFID II and MiFIR Investor Protection and Intermediaries Topics

02/06/2017

Guidelines on MiFID II product governance requirements

04/04/2017

Questions and Answers on MiFID II and MiFIR investor protection topics

31/03/2017

Q&A relating to the provision of CFDs and other speculative products to retail investors under MiFiDD

16/12/2016

Q&As on MIFID II and MiFIR investor protection topics

28/10/2016


Consultation Paper - Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body and key function holders under Directive 2013/36/EU and Directive 2014/65/EU
Annex I - Template for Assessment of Collective Suitability

11/10/2016

Q&As relating to the provision of CFDs and other speculative products to retail investors under MiFID

10/10/2016

Q&As on MiFID II and MiFIR investor protection topics

05/10/2016

Consultation Paper - Draft guidelines on MiFID II product governance requirements

26/07/2016

Warning about CFDs, binary options and other speculative products

25/07/2016

Q&As relating to the provision of CFDs and other speculative products to retail investors under MiFID

02/06/2016

MiFID practices for firms selling financial instruments subject to the BRRD resolution regime.

01/06/2016

Questions and Answers Relating to the provision of CFDs and other speculative products to retail investors under MiFID

08/04/2016

Questions and Answers Relating to the provision of CFDs and other speculative products to retail investors under MiFID

07/04/2016

MiFID Suitability Requirements Peer Review Report

21/12/2015

Guidelines - Complex debt instruments and structured deposits

01/12/2015

Guidelines - Complex debt instruments and structured deposits

01/10/2015

Guidelines - The application of the definitions in Sections C6 and C7 of Annex I of Directive 2004/39/EC (MiFID)

10/07/2015

Final Report - MiFID II/MiFIR draft Technical Standards on authorisation, passporting, registration of third country firms and cooperation between competent authorities

24/04/2015

Consultation Paper - Draft guidelines for the assessment of knowledge and competence

25/03/2015

Consultation Paper - Draft guidelines on complex debt instruments and structured deposits

03/03/2015


ESMA Questionnaires – Cost and Benefits Analysis on MiFID II


Questionnaire in relation to the ancillary activity exemption Article 2(1)(j), MiFID II for firms

Questionnaire in relation to position limits and position reporting, Articles 57 and 58, MiFID II for trading venues

Questionnaire in relation to position limits and position reporting, Articles 57 and 58, MiFID II for firms

Questionnaire on equity transparency

Questionnaire on microstructural issues

Questionnaire on RTS 22, RTS 24, RTS 32, RTS 36, RTS 37, RTS 38

Questionnaire on non-equity transparency

Data collection

22/12/2014

ESMA’s Technical Advice to the Commission on MiFID II and MiFIR

22/12/2014

ESMA Consultation Paper - MiFID II / MiFIR

22/05/2014

ESMA Consultation Paper - MiFID II / MiFIR

22/05/2014

ESMA Discussion Paper - MiFID II / MiFIR

07/02/2014

ESMA Opinion - MiFID practices for firms selling complex products