Level 3 materials

Level 3 materials

ESMA Q&As

Temporary product intervention measures for CFDs and Binary Options 9 November 2018

Data Reporting (update) 26 September 2018

Transparency Q&As 29 May 2018

nvestor Protection Q&As 25 May 2018

Market Structure Q&As 28 March 2018

Commodity Derivatives Q&As 27 March 2018

Transparency Q&As 28 March 2018

Transparency Q&A 07 February 2018

Investor Protection Q&A 23 March 2018

Data reporting - update 16 December 2017

Commodity Derivatives topics - Update 28 March 2018

Market Structures - Update 28 March 2018

Investor Protection - Update 28 March 2018

Transparency Issues - Update 28 March 2018

Data reporting 14 November 2017

https://www.esma.europa.eu/file/22600/download?token=JZzU9Om0 14 November 2017

Investor protection and intermediaries topics - Updated

Post Trading topics 10 October 2017

Transparency topics - Updated 03 October 2017

Market Structure topics - Updated 03 October 2017

MiFID2 and MiFIR Commodity Derivatives topics 05 April 2017

MiFID2 and MiFIR Transparency topics 05 April 2017

MiFID2 and MiFIR Market Structures topics 05 April 2017

MiFIR Data Reporting - updated 03 April 2017

MiFIR Data Reporting 02 February 2017

MiFID2 and MiFIR Transparency topics 31 January 2017

MiFID2 and MiFIR Market Structures topics 31 January 2017

MiFID2 and MiFIR Commodity Derivatives topics 19 December 2016

MiFID2 and MiFIR Investor Protection topics 16 December 2016

MiFID2 and MiFIR Market Structures topics 18 November 2016

MiFID2 and MiFIR Transparency topics 18 November 2016

MiFID2 and MiFIR application 04 November 2016

MiFID2 and MiFIR Investor Protection topics 10 October 2016

ESMA consultation papers

Guidelines on Product Governance Requirements 05 February 2018

CP16: ESMA Consultation Paper on guidelines on certain aspects of the MiFID2 suitability requirements 13 July 2017

CP15: ESMA Consultation Paper on the trading obligation for derivatives under MiFIR 19 June 2017

CP14: ESMA draft RTS on package orders for which there is a liquid market 10 November 2016

CP13: ESMA and EBA Guidelines on the Assessment of the suitability of members of the management body and key function holders under CRDIV and MiFID2 28 October 2016

CP12: Guidelines on the Calibration, Publication and Reporting of Trading Halts 06 October 2016

CP11: Guidelines on specific notions under MiFID2 related to the Management Body of Market Operators and Data Reporting Services Providers 05 October 2016

Draft Guidelines on MiFID2 Product Governance
Requirements 05 October 2016

Guidelines on Transaction Reporting, Reference Data, Order Record Keeping & Clock Synchronisation 23 December 2015

Draft Guidelines for the Assessment of Knowledge and Competence 23 April 2015

Draft Guidelines on Complex Debt Instruments and Structured Deposits 24 March 2015

ESMA Final Reports (FR) and Final Guidelines (FG)

Final Report on Guidelines on certain aspects of the MiFID2 suitability requirements 28 May 2018

Final report on proposed amendments to the RTS 1 26 March 2018

FR17: Technical Advice on the evaluation of certain elements of the Short Selling Regulation 21 December 2017

FR15: Guidelines on MiFID2 Product Governance Requirements 02 June 2017

FG13: Guidelines on the calibration of circuit breakers and the publication and reporting of trading halts under MiFID2 06 April 2017

FR14: Draft revised RTS specifying the scope of the consolidated tape (CT) for non-equity financial instruments 31 March 2017

FR13: Draft RTS on package orders for which there is a liquid market 28 February 2017

FG12: Guidelines on complex debt instruments and structured deposits 04 February 2016

FG11: Guidelines on cross-selling practices 11 July 2016

FG10: Transaction reporting, order record keeping and clock synchronisation under MiFID2 10 October 2016

FR10: Guidelines on transaction reporting, order record keeping and clock synchronisation under MiFID2
10 October 2016

FR9: Draft regulatory technical standards on indirect clearing arrangements under EMIR and MiFIR 26 May 2016

FR8: Amendment of ESMA draft regulatory technical standards on reporting obligations under Article 26 of MiFIR 04 May 2016

FR7: Guidelines on Cross-Selling Practices 22 December 2015

FR6: Guidelines for the Assessment of Knowledge and Competence 17 December 2015

FR5: Draft Implementing Technical Standards under MiFID2 11 December 2015

FR4: Guidelines on Complex Debt Instruments and Structured Deposits 26 November 2015

FR3:Draft Regulatory and Implementing Technical Standards MiFID2 /MiFIR 28 September 2015

• Annex I RTS
• Annex II Cost/Benefit Analysis

FR2: MiFID2 /MiFIR Draft Technical Standards on Authorisation, Passporting, Registration of Third Country Firms and cooperation between Competent Authorities 29 June 2015

FR: ESMA's Technical Advice to the Commission on MiFID2 and MiFIR 19 December 2014

ESMA (Technical)/Reporting Instructions

FIRDS Transparency System Instructions 18 December 2017

Technical Reporting Instructions on Transaction reporting under MiFIR - Updated Log of changes display amendments made to the reporting instructions 17 July 2017

FIRDS Transparency System 26 October 2016

MiFIR Transaction Reporting 26 October 2016

FIRDS Reference Data System 26 October 2016

Double Volume Cap System 26 October 2016

Other documents

The European Commission has now published updated MIFIR tables for:

Implementing and delegated acts

Regulatory Technical Standards

Equivalence decisions

ESMA Opinion on Amendments to Commission Delegated Regulation (EU) 2017587 (RTS 1)20 September 2018

ESMA updated files containing double volume cap mechanism data 06 July 2018

FCA published a List of Cooperation Agreements 14 June 2018

ESMA FAQs on transparency calculations (TTC) for equity and bond instruments 15 May 2018

ESMA updated public register with the latest set of double volume cap (DVC) data under MiFID2 09 May 2018

ESMA opinions on position limits for commodity derivatives relating to feed wheat, jet kerosene and gasoline April 2018

ESMA issued an opinion providing further guidance on the treatment of packages under the trading obligation for derivatives which MiFIR introduced on 03 January 2018 21 March 2018

ESMA trading volumes and calculations 07 March 2018

European Commission published a proposal for a Directive amending MiFID2 08 March 2018

FCA report on the supervision of algorithmic trading in wholesale markets 12 February 2018

FAQs on Transitional Transparency Calculations 22 December 2017

ESMA MiFID2 list of supplementary deferral regimes 09 January 2018

Double Volume Cap instructions 18 December 2017

ESMA transitional transparency calculations (TTC) for equity and tick sizes under MiFID2 30 January 2018

ICMA Briefing Note January 2018

MiFID2/MiFIR transitional transparency calculations (TTC) for equity and bond instruments 19 January 2018

ESMA publication of position management controls 09 January 2018

ESMA a statement to support the smooth introduction of the LEI requirements under MiFIR 20 December 2017

ESMA revised procedure and updated its template for NCAs to use to report parameters used by trading venues under their jurisdiction for trading halts in accordance with Article 48(5) of MiFID2 19 December 2017

ESMA Opinion on Market Size Calculation 22 December 2017

ESMA FAQs on MiFID2 - Interim Transparency Calculations 11 September 2017

European Commission Report on the need to temporary exclude ETDs from the scope of Articles 35 & 36 of Reg (EU) No 600/201411 September 2017

ESMA MiFID2 Transitional Transparency Calculation - Updated 11 September 2017

MiFIR Product Intervention Powers FAQsJuly 2017

ESMA MiFID2 Transitional Transparency Calculation July 2017

ESMA Warning about CFDs, binary options and other speculative products 25 July 2016

ESMA Opinion to support supervisory convergence in the area of secondary markets in the context of the United Kingdom withdrawing from the European Union 13 July 2017

ESMA Opinion to support supervisory convergence in the area of investment firms in the context of the United Kingdom withdrawing from the European Union 13 July 2017

ESMA Opinion to support supervisory convergence in the area of investment firms in the context of the United Kingdom withdrawing from the European Union 13 July 2017

ESMA Opinion on ancillary activity - market size calculation 06 July 2017

ESMA FAQs on interim transparency calculations 03 July 2017

ESMA Statement on preparatory work of the European Securities and Markets Authority in relation to CFDs, binary options and other speculative products 29 June 2017

ESMA Letter regarding an update on the implementation of ESMA's IT projects regarding MiFID2/ MiFIR 19 June 2017

ESMA Speech at the Futures Industry Association IDX Conference, 'Looking to the future', Steven Maijoor 07 June 2017

Opinion - Determining third country trading venues for the purpose of transparency under MiFID2 MiFIR 31 May 2017

Opinion - Determining third country trading venues for the purpose of position limits under MiFID2 31 May 2017

Opinion on OTC derivatives traded on a trading venue 22 May 2017

European Commission Staff Working Document - EU equivalence decisions in financial services policy: an assessment 27 February 2017

Opinion on the impact of the exclusion of fund management companies from the scope of MiFIR intervention powers 12 January 2017

Briefing Note on MiFID2 Technical Data Reporting Requirements 12 January 2017

Guidelines Compliance Table: Guidelines on cross-selling practices 15 December 2016

Template for the assessment of collective suitability November 2016

FCA documents

Updated policy statement (PS31/17) following CP4/18 ‘Insurance Distribution Directive: change to commencement date 22 February 2018

FCA Markets data regimes 03/ 23 January 2018

FCA webpage update on the introduction of commodity derivatives, position limits and reporting 03/23 January 2018

Policy Statement PS31/17 – Responses to CP18/17 21 December 2017

FCA revised Reporting Form for trading venues to submit 21 December 2017

FCA updated Webpage on MiFID2 Article 32/52 trading suspensions, removals and restorations 21 December 2017

FCA 'Change in control' webpage updated 13 January 2018

FCA Webpage Updated 25 January 2018

MiFID2 general guidance on the authorisation process, including forms and prudential categories for first time applicants and existing investment firms who are seeking to vary their scope of permissions January 2018

FCA new application forms for change of legal status regarding MiFID firms 03 January 2018

MiFID2 Ancillary Activity Exemption – Notification Guide January 2018

FCA CP 17/34: Joint PRA and FCA form, PRA Rulebook, and FCA Handbook changes
03 October 2017

FCA Speech, 'A Better View', by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the AFME European Compliance and Legal Conference 2017 20 September 2017

FCA Webpage on the Market Data Processor (MDP) entity portal July 2017

FCA CP17/19 Markets in Financial Instruments Directive II Implementation - CPIV 03 July 2017

FCA Policy Statement PS17/14 Markets in Financial Instruments Directive II Implementation - Policy Statement II July 2017

FCA statement on contract for difference products and CP16/40 29 June 2017

MiFID2 Webpage - updated 26 January 2017

MiFID2 Application and Notification User Guide 13 January 2017

MiFID2 Legal Entity Identifier (LEI) - updated 20 December 2016

Letter to UK Market Operators & UK Investment Firms operating Trading Venues regarding pre-trade transparency waivers 19 December 2016

Pre-trade Transparency Waiver Request Form 19 December 2016

Pre-trade transparency Cover letter 19 December 2016