MiFID


MiFID Legislation

MiFID Legislation

18/06/2014        MiFIR – Regulation (EU) No 600/2014

18/06/2014        MiFID II – Directive 2014/65

ESMA Documents

28/12/2018 Statement - Reminder to firms on their MiFID obligations on disclosure of information to clients in the context of the United Kingdom withdrawing from the European Union
27/12/2018 MiFID II Supervisory Briefing - Suitability
20/12/2018 Consultation Paper - On integrating sustainability risks and factors in MiFID II
20/12/2018 Statement - Reminder to firms on their MiFID obligations on disclosure of information to clients in the context of the United Kingdom withdrawing from the European Union
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 saleof CFDs and Binary options to retail clients
13/07/2018 Q&A On ESMA’s temporary product intervention measures on the marketing, distribution or saleof 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 Q&A On MiFID II and MiFIR investor protection and intermediaries topics
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
  • 11/10/2016Q&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
    04/04/2015 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
    03/03/2015ESMA 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