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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Article 2(2), Article 9(3) and Articles 14 and 16 to 20,
ESMA35-43-349 Q&A — MiFID II and MiFIR investor protection topics [in force]…24 of MiFID II Art. 50(8) of the MiFID II Delegated Regulation | 6/6/2017 | | 15 | Calculation of ex-ante transaction costs | Art…
Answer by ESMA · not legislation · dated 15 Dec 2023 [in force]
Art 13(7)(d) AMLD6 Procedure for the verification and mutual recognition of a legitimate interest to access beneficial ownership informationone or more of the situations referred to in Article 15 applies;
ESMA70-872942901-36 Q&A — MiFID II and MiFIR commodity derivatives topics [in force]…positions?Art 57 of MiFID II; RTS 2107/07/2017 15How should…
Answer by ESMA · not legislation · dated 31 Dec 2023 [in force]
ESMA70-1861941480-56 Q&A — MiFIR data reporting [in force]…Dealing on own account as it is defined in Art. 4 (1) (6) MiFID II means trading against proprietary capital resulting in the conclusion…
Answer by ESMA · not legislation · dated 31 Mar 2023 [in force]
Art 6(2)(b) DLT Pilot Regime Requirements and exemptions regarding DLT TSSsArticle 4(2), (3) and (4) and Article 5(2) to (10); and
Art 16(4)(b) ToFR Detection of missing information on the originator or the beneficiaryArticle 14(5) of Directive (EU) 2015/849 applies to the beneficiary.
2017/2441 Decision — Equivalence: stock exchanges in Switzerland [no longer in force]**Commission Implementing Decision (EU) 2017/2441 · expired — not in force · OJ L 344, 23.12.2017 · dated 21 Dec 2017 [no longer in…
Commission Implementing Decision (EU) 2017/2441 · expired — not in force · OJ L 344, 23.12.2017 · dated 21 Dec 2017 [no longer in force]
ESMA35-43-3006 Guideline — MiFID II appropriateness and execution-only requirements [final]{"caption":[],"rows":[[{"paragraphs":["investment product"],"rowspan":1,"colspan":1},{"paragraphs":["a financial instrument (within the meaning of Article 4(1)(15) of MiFID II) or a structured deposit (within the meaning of Article 4(1)(43)
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 12 Apr 2022 [final]
Art 70(3)(a) MiFID II Sanctions for infringementsArticle 51(1) to (4) and the second sentence of Article 51(5);
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