Regulatory framework

Questions and Answers on MiFID II and MiFIR commodity derivatives topics (uniquement en anglais)

ESMA70-872942901-36

Questions and Answers on MiFID II and MiFIR post trading topics

ESMA70-151-957

Commission Implementing Decision (EU) 2017/2320 of 13 December 2017

on the equivalence of the legal and supervisory framework of the United States of America for national securities exchanges and alternative trading systems in accordance with Directive 2014/65/EU of the European Parliament and of the Council

Commission Implementing Decision (EU) 2017/2319 of 13 December 2017

on the equivalence of the legal and supervisory framework applicable to recognised exchange companies in Hong Kong Special Administrative Region in accordance with Directive 2014/65/EU of the European Parliament and of the Council

Commission Implementing Decision (EU) 2017/2318 of 13 December 2017

on the equivalence of the legal and supervisory framework in Australia applicable to financial markets in accordance with Directive 2014/65/EU of the European Parliament and of the Council

Regulation (EU) 2017/2402 of the European Parliament and of the Council of 12 December 2017

laying down a general framework for securitisation and creating a specific framework for simple, transparent and standardised securitisation, and amending Directives 2009/65/EC, 2009/138/EC and 2011/61/EU and Regulations (EC) No 1060/2009 and (EU) No 648/2012

Directive (EU) 2017/2399 of the European Parliament and of the Council of 12 December 2017

amending Directive 2014/59/EU as regards the ranking of unsecured debt instruments in insolvency hierarchy

Commission Implementing Decision (UE) 2017/2238 5 December 2017

on the equivalence of the legal and supervisory framework applicable to designated contract markets and swap execution facilities in the United States of America in accordance with Regulation (EU) No 600/2014 of the European Parliament and of the Council

EBA Guidelines on procedures for complaints of alleged infringements of Directive (EU) 2015/2366

EBA/GL/2017/13

Commission Delegated Regulation (EU) 2018/480 of 4 December 2017

supplementing Regulation (EU) 2015/760 of the European Parliament and of the Council with regard to regulatory technical standards on financial derivative instruments solely serving hedging purposes, sufficient length of the life of the European long-term investment funds, assessment criteria for the market for potential buyers and valuation of the assets to be divested, and the types and characteristics of the facilities available to retail investors

Circular CSSF 17/674

ESMA Guidelines on transaction reporting and order record keeping under Regulation (EU) No 600/2014 on markets in financial instruments (“MiFIR”) and clock synchronisation pursuant to Directive 2014/65/EU on markets in financial instruments (“MiFID II”) and details on transaction reporting on financial instruments under MiFIR

Commission Delegated Regulation (EU) 2018/389 of 27 November 2017

supplementing Directive (EU) 2015/2366 of the European Parliament and of the Council with regard to regulatory technical standards for strong customer authentication and common and secure open standards of communication

Regulatory technical standards for strong customer authentication and common and secure open standards of communication

Commission Delegated Regulation (EU) 2017/2417 of 17 November 2017

supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards on the trading obligation for certain derivatives

Commission Delegated Regulation (EU) 2018/345 of 14 November 2017

supplementing Directive 2014/59/EU of the European Parliament and of the Council with regard to regulatory technical standards specifying the criteria relating to the methodology for assessing the value of assets and liabilities of institutions or entities

Commission Delegated Regulation (EU) 2018/344 of 14 November 2017

supplementing Directive 2014/59/EU of the European Parliament and of the Council with regard to regulatory technical standards specifying the criteria relating to the methodologies for valuation of difference in treatment in resolution

Council Regulation (EU) 2017/2063 of 13 November 2017

concerning restrictive measures in view of the situation in Venezuela

Circular CSSF 17/671 (as amended by Circular CSSF 18/698)

Specifications regarding CSSF Regulation N° 16-07 of 26 October 2016 relating to out-of-court complaint resolution

Circular CSSF 17/670

ESMA Guidelines for the assessment of knowledge and competence in the framework of 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/EC and Directive 2011/61/EU (“MiFID II”) – criteria regarding external training on knowledge and competence

Commission Delegated Regulation (EU) 2018/67 of 3 October 2017

supplementing Regulation (EU) 2016/1011 of the European Parliament and of the Council with regard to the establishment of the conditions to assess the impact resulting from the cessation of or change to existing benchmarks