MiFID



     
    MiFID Legislation
    18/06/2014 MiFIR - Regulation (EU) No 600/2014
    18/06/2014 MiFID II - Directive 2014/65
    10/08/2006 Commission Directive 2006/73/EC of 10 August 2006
    10/08/2006 Commission Regulation (EC) No 1287/2006 of 10 August 2006
    21/04/2004 Directive 2004/39/EC of the European Parliament and Council of 21 April 2004
       

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    ESMA Documents
    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  
    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
    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 - Assessment of knowledge and competence  
    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 
    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

    28/06/2013

    ESMA Final Report - Guidelines on remuneration policies and practices (MiFID)                        
     
    24/09/2012
     
    ESMA Consultation Paper - Guidelines on remuneration policies and practices (MiFID)
    18/01/2011
    ESMA Consultation Paper - Guidelines on certain aspects of the MiFID suitability requirements
    18/01/2011
    ESMA Consultation Paper - Guidelines on certain aspects of the MiFID compliance function requirements
    13/10/2010 CESR Technical Advice to the European Commission in the Context of the MiFID Review – Equity Markets Post-trade Transparency Standards (CESR/10-882)
    13/10/2010 CESR Technical Advice to the European Commission in the context of the MiFID Review – Client Categorisation (CESR/10-1040)
    13/10/2010 CESR Technical Advice to the European Commission in the Context of the MiFID Review - Standardisation and Organised Platform Trading of OTC Derivatives (CESR/10-1096)
    13/10/2010 CESR’s Responses to Questions 1-14 and 19 of the European Commission Request for Additional Information in Relation to the Review of MiFID CESR (CESR10-1254)
    29/07/2010 CESR Technical Advice to the European Commission in the Context of the MiFID Review and Responses to the European Commission Request for Additional Information (CESR/10-802, CESR/10-799, CESR/10-808, CESR/10-859, CESR/10-860)
    12/07/2010 CESR Technical Advice to the European Commission in the context of the MiFID Review – Client Categorisation [Ref: CESR/10-831] – July 2010
    10/05/2010 Consultation paper - CESR Technical Advice to the EC in the context of the MiFID Review Non-Equity market transparency
    20/04/2010 CESR’s Feedback statement on Inducements: Good and Poor practices – (CESR/ 10-296).
    20/04/2010 CESR’s Report on Inducements: Good and Poor practices – (CESR/10-295).
    20/04/2010 CESR’s Feedback statement on Understanding the definition of advice under MiFID – (CESR/10-294).
    20/04/2010 CESR’s Question & Answers on Understanding the definition of advice under MiFID – (CESR/10-293)
    14/04/2010 CESR Technical Advice to the European Commission in the Context of the MiFID Review – Investor Protection and Intermediaries
    14/04/2010 CESR Technical Advice to the European Commission in the Context of the MiFID Review – Equity Markets
    14/04/2010 CESR Technical Advice to the European Commission in the Context of the MiFID Review – Transaction Reporting
    24/11/2009 CESR Q&A on MiFID complex and non complex financial instruments
       

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    European Commission Documents
    08/12/2010 Public Consultation regarding the review of the Markets in Financial Instruments Directive (MiFID)
       

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