Search results for “Art 4(1)(15) MiFID II”
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Showing 10 of 66Searched all 20 acts we hold, Level 1, 2 and 3 as of todayKeyword and semanticRelease 3 Nov 2026
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…nondiscriminatory feesArticle 11 of RTS 1513/10/2023 *New* Application of MiFID II after…
Answer by ESMA · not legislation · dated 13 Oct 2023 [in force]
ESMA35-43-3448 Guideline — MiFID II product governance requirements (revised) [final]{"caption":[],"rows":[[{"paragraphs":["firms"],"rowspan":1,"colspan":1},{"paragraphs":["investment firms (as defined in Article 4(1)(1) of MiFID II) and credit institutions (as defined in Article 4(1)(27) of MIFID II) when providing investm
Guidelines by ESMA under Article 16 of Regulation (EU) No 1095/2010 · not legislation · "In accordance with Article 16(3) of the ESMA Regulation, competent authorities and financial market participants must make every effort to comply with these guidelines." · dated 3 Aug 2023 [final]
Art 70(3)(b) MiFID II Sanctions for infringementsArticle 25(1) and (2);
Annex II MiFID II Annex IIII.2. Procedure
ESMA70-872942901-36 Q&A — MiFID II and MiFIR commodity derivatives topics [in force]…by NCAs according to Article 57(1) MiFID II?"],"rowspan":1,"colspan":1},{"paragraphs":["Art. MIFID II"],"rowspan":1,"colspan":1},{"paragraphs":["57"],"rowspan…
Answer by ESMA · not legislation · dated 31 Dec 2023 [in force]
09_559 Q&A — MiFID complex and non-complex financial instruments (appropriateness) [in force]…| **Full title** | 09_559 — Q&A — MiFID complex and non-complex financial instruments (appropriateness) \[in force\] | | **Prepared by** | CESR |…
Answer by CESR · not legislation · dated 3 Nov 2009 [in force]
Art 70(3)(b) MiFID II Sanctions for infringementsArticle 15(1), first subparagraph, second subparagraph, the first and third sentences, and fourth subparagraph, Article 15(2) and Article 15(4), second sentence;
ESMA70-872942901-36 Q&A — MiFID II and MiFIR commodity derivatives topics [in force]…4(1)(44)(c) and Annex I of MiFID II; Art. 2(1)(30) of MiFIR."],"rowspan":1,"colspan":1},{"paragraphs":["19/12/2016…
Answer by ESMA · not legislation · dated 31 Dec 2023 [in force]
ESMA75-453128700-1323 Guideline — Crypto-Asset Financial Instruments [final]…Article 4(1)(15) of MiFID II. [^9]: Recital 9 of MiCA. [^10]: Article 4(1)(44) of MiFID II defines transferable securities, which…
Guidelines by ESMA under Article 16 of Regulation (EU) No 1095/2010 · not legislation · "In accordance with Article 16(3) of the ESMA Regulation, national competent authorities and financial market participants must make every effort to comply with these guidelines." · dated 19 Mar 2025 [final]
ESMA35-43-3172 Guideline — MiFID II suitability requirements (revised) [final]{"caption":[],"rows":[[{"paragraphs":["MiFID II"],"rowspan":1,"colspan":1},{"paragraphs":["Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Directive 2002/92/
Guidelines by ESMA under Article 16 of Regulation (EU) No 1095/2010 · not legislation · "In accordance with Article 16(3) of the ESMA Regulation, competent authorities and financial market participants shall make every effort to comply with guidelines." · dated 3 Apr 2023 [final]
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