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MiFID II and MiFIR status - Level 3 

 

ESMA Guidelines

Guidelines on complex debt instruments and structured deposits

  • Final Report published 26 November 2015 (ESMA/2015/1783)
  • Guidelines published 4 February 2016 (ESMA/2015/1787)
  • Status: Guidelines apply from 3 January 2018


Guidelines on transaction reporting, reference data, order record keeping & clock synchronisation

  • Consultation Paper published 23 December 2015 (ESMA/2015/1909)
  • Guidelines published 10 October 2016 (ESMA/2016/1452)
  • Status: Guidelines apply from 3 January 2018


Guidelines on cross-selling practices

  • Final Report published 22 December 2015 (ESMA/2015/1861)
  • Guidelines published 11 July 2016 (ESMA/2016/574)
  • Status: Guidelines will be translated into the official languages of the European Union and will apply from 3 January 2018


Guidelines for the assessment of knowledge and competence

  • Final Report published 17 December 2015 (ESMA/2015/1886)
  • Guidelines published 22 March 2016 – revised 3 January 2017 (ESMA/2016/1886)
  • Status: Guidelines apply from 3 January 2018
       

Draft guidelines on product governance requirements

  • Final Report published on 2 June 2017 (ESMA35-43-620)
  • Consultation paper published 5 October 2016 (ESMA/2016/1436)
  • Status: Awaiting final guidelines.


Guidelines related to the management body of market operators and data reporting services providers

  • Consultation paper published 5 October 2016 (ESMA/2016/1437)
  • Status:  Consultation closed 5 January 2017

 
Guidelines on the calibration, publication and reporting of trading halts

  • Final report published 6 April 2017 (ESMA70-872942901-17)
  • Consultation paper published 6 October 2016 (ESMA/2016/1440)
  • Status: Guidelines apply from 3 January 2018.

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

    • Consultation Paper (joint EBA/ESMA) published 28 October 2016 (EBA/CP/2016/17)
    • Status: Consultation closed 28 January 2017


ESMA Questions and Answers

  1. ESMA Q&A on Market Structures (July 2017) *UPDATED*

  2. ESMA Q&A on Investor Protection (July 2017) *UPDATED*  

  3. ESMA Q&A on Transparency (May 2017) *UPDATED*

  4. ESMA Q&A on Commodities (July 2017) *UPDATED* 

  5. ESMA Q&A on MiFIR Data Reporting (July 2017) *UPDATED*


ESMA Opinions

  • ESMA Opinion on the meaning of "traded on a trading venue" (ToTV) (22 May 2017)
  • ESMA Opinion on third-country trading venues for the purposes of post-trade transparency (31 May 2017)
  • ESMA Opinion on third-country trading venues for the purpose of position limits (31 May 2017)

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