MiFID-II

MiFID-II Materialsammlung

Datum	Kennung	Inhalt	Dokument
3-Jul-2014	2014/65/EU	MiFID II Originaltext der Richtlinie (mit Anhängen I-IV)	2014___65_EU MiFID II_Level1_original_text_english 2014___65_EU MiFID II_Level1_original_text_deutsch (148 Seiten)
3-Jul-2014	2014/600/EU	MiFIR Originaltext der Verordnung	MIFIR_EU600-2014_original_text_english MIFIR_EU600-2014_original_text_deutsch (65 Seiten)
19-Dec-2014	ESMA/2014/1569 Result of "CP 1" ESMA/2014/549 Adoption in C(2016) 2031 C(2016) 2398 C(2016) 2860	ESMA FINAL REPORT "ESMA’s Technical Advice to the Commission on MiFID II and MiFIR". 446 Seiten mit ESMA-Aufgabenstellung, Ergebnis & Analyse der Konsultationen aus Consultation-Paper 2014/549 und "Technical Advice" an die EU-Kommission.	2014_1569_esma_final_report_tech_advice (446 pages)
29-Jun-2015	ESMA2015/1006 Result of "CP 2" ESMA/2014/1570	ESMA FINAL REPORT MiFID II/MiFIR draft Technical Standards on authorisation, passporting, registration of third country firms and cooperation between competent authorities	2015_1006 esma_final_report (131 pages)
28-Sep-2015	ESMA/2015/1464 Result of "CP 2" ESMA/2014/1570	ESMA FINAL REPORT "Draft Regulatory and Implementing Technical Standards MiFID II/MiFIR" Der Anhang enthält Entwürfe (drafts) aller 28 RTS (regulatory tech. standards). Folgende Liste enthält auch den zurgehörigen Link zur späteren Umsetzung: 1: Transaprency (shares) 2017-0587 2: Transparency (bonds) 2017-0583 3: Volume cap mechanism 2017-0577 4: Trading Obligation derviatives 2016-2020 5: Derivative contracts 2017-0579 6: Alorithmic Trading 2017-0589 7: Organisational requirements Trading Venues 2017-0584 8: Market making agreements 2017-0578 9: ratio of unexecuted orders to transactions 2017-0566 10: fair colocation and fee structures 2017-0573 11: tick size regime 2017-0588 12: determination material market 2017-0570 13: data reporting service providers 2017-0571 14: pre- and post-trade data 2017-0572 15: clearing access 2017-0581 16: Access benchmarks 2016-2021 17: admission to trading on market 2017-0568 18: suspension and removal from trading 2017-0569 19: MTF + OTF description format 2016-0824 20 Criteria for ancillary business 2017-0592 21: commodity position limits 2017-0591 22: reporting of transactions 2017-0590 23: formats for reference data (FIRDS) 2017-0585 24: maintenance of order data 2017-0580 25: accuracy of business clocks 2017-0574 26: clearing obligation derivatives 2017-0582 27: venue data quality of execution 2017-0575 28: inv.firm publication quality of execution 2017-1018	2015_1464_esma_final_report_draft_rts_and_its (402 pg) 2015_1464_esma_annex_i_draft_rts_and_its (553 pg)
26-Nov-2015	consultation: ESMA 2015/610 final: ESMA/2015/1783 Guidelines: ESMA 2015/1787	ESMA consultation paper + final report + guidelines ...on complex debt instruments and structured deposits Kriterien dafür, wann Schuldtitel und strukturierte Einlagen als „komplex“ einzustufen sind. Darüber hinaus Erläuterung für den Begriff „eingebettete Derivate“. Damit wird ein Rahmen für die Beurteilung der Zulässigkeit reiner Ausführungsgeschäfte (Artikel 25 Absatz 4 MiFID II) geschaffen.	2015-610_cp_mifid_guidelines_complex_products 2015-1783_esma_final_report 2015-1787 guidelines 2015-1787 Leitlinien
11-Dec-2015	ESMA/2015/1858	ESMA FINAL REPORT "Draft implementing technical standards under MiFID II" 171 Seiten, im Anhang die acht ITS (implementing technical standards) 1: cooperation arrangements for trading venues 2017-0988 2: suspension and removal from trading 2017-1005 3: data reporting service providers 2017-1110 4: position reporting 2017-1093 5: weekly postion reports 2017-0953 6: supervisory activities 2017-0980 7: consulting competent autorities 2017-0981 8: submitting information on sanctions 2017-1111	2015-1858_final_report_draft_implementing_tec_standards
22-Dec-2015	ESMA/2015/1861	ESMA FINAL REPORT Guidelines on cross-selling practices	2015-1861_esma_final_report_on_cross-selling
22-Mar-2016	ESMA/2015/1886	ESMA LEITLINIEN Leitlinien für die Beurteilung von Kenntnissen und Kompetenzen (gemeint sind die der Mitarbeiter, nicht der Kunden) ESMA FINAL REPORT Guidelines for the assessment of knowledge and competence	2015_1886 ESMA Leitlinien Kenntnisse 2015_1886 ESMA final report competence
7-Apr-2016	draft: C(2016) 2031 final: (EU)2017/593	COMMISSION DELEGATED DIRECTIVE "...safeguarding of financial instruments and funds belonging to clients, product governance obligations and the rules applicable to the provision or reception of fees, commissions or any monetary or non-monetary benefits", including... obligations for product manufacturers obligations for product distributors Inducements (in connection with services) Inducements in relation to research	2016_2031 commission delegated directive (englisch) 2016_2031 Delegierte Richtlinie der Kommission (deutsch) inzwischen am 31.3.2017 verabschiedet als 2017__593 commission delegated directive (englisch) 2017__593 Delegierte Richtlinie der Kommission (deutsch )
25-Apr-2016	draft: C(2016) 2398 final 25.4.16:: (EU)2017/565 Korrektur 31.3.17: C/2017/6306	COMMISSION DELEGATED REGULATION („die MiFID-II delegierte Verordnung“) "...organisational requirements and operating conditions for investment firms", including... record keeping (Sect.8 + Annex I + IV) Cost and Charges disclosure (Annex II) Systematic Internaliser defnition Compliance & risk mgmt measures Complaints handling procedures Remuneration policies Outsourcing rules Conflicts of interest policy Information / Reporting to Clients investment advice Assessment of suitability and appropriateness Best execution Data Reporting Service Providers (Datenbereitstellungsdienstleistungen)	2017__565 commission delegated regulation 2017__565 Delegierte Verordnung der Kommission (83 Seiten)
18-May-2016	draft: C(2016) 2860 final: (EU)2017/567	COMMISSION DELEGATED REGULATION "...definitions, transparency, portfolio compression and supervisory measures on product intervention and positions", including definition of "liquid market" Data provision obligations for trading venues Data publication obligations for SIs Conditions for "portfolio compression" Supervisory measures on "product intervention" Position management powers of ESMA	2017__567 commission delegated regulation 2017__567 Delegierte Verordnung der Kommission
2-Jun-2016	draft: C(2016)3201 final: (EU) 2017/571	COMMISSION DELEGATED REGULATION ( RTS 13 ) with regard to regulatory technical standards on the authorization, organisational requirements and the publication of transactions for data reporting services providers	2016_3201-Commission delegated regulation 2016_3201 Delegierte Verordnung inzwischen am 31.3.2017 verabschiedet als 2017__571 commission delegated regulation 2017__571 Delegierte Richtlinie der Kommission
2-Jun-2016	draft: C(2016)3206 final: (EU) 2017/572	COMMISSION DELEGATED REGULATION ( RTS 14 ) specification of the offering of pre-and post-trade data and the level of disaggregation of data	2017__572 commission delegated regulation 2017__572 Delegierte Richtlinie der Kommission
8-Jun-2016	draft: C(2016) 3333 final: (EU)2017/575	COMMISSION DELEGATED REGULATION ( RTS 27 ) "...data to be published by execution venues on the quality of execution..."	2017__575 commission delegated regulation 2017__575 Delegierte Verordnung der Kommission
8-Jun-2016	draft: C(2016) 3337 final: (EU)2017/576	COMMISSION DELEGATED REGULATION ( RTS 28 ) ... annual publication by investment firms of information on the identity of execution venues and on the quality of execution	2017__576 commission delegated regulation 2017__576 Delegierte Verordnung der Kommission
14-Jul-2016	draft: C(2016) 4390 final: (EU)2017/587	COMMISSION DELEGATED REGULATION ( RTS 1 ) regulatory technical standards on transparency requirements for trading venues and investment firms in respect of shares, depositary receipts, exchange-traded funds, certificates and other... Chapter II: Pre-trade transparency Chapter III: *Post-trade transparency*	2017__587 commission delegated regulation 2017__587 Delegierte Verordnung der Kommission
14-Jul-2016	draft: C(2016) 4301 final: (EU)2017/583	COMMISSION DELEGATED REGULATION ( RTS 2 ) regulatory technical standards on transparency requirements...for bonds, structured finance products, emission allowances and derivatives. Including definition of "package transaction" Chapter II: Pre-trade transparency Chapter III: *Post-trade transparency*	2017__583 commission delegated regulation 2017__583 Delegierte Verordnung der Kommission
28-Jul-2016	draft: C(2016) 4733 final: (EU)2017/590	COMMISSION DELEGATED REGULATION ( RTS 22 ) "...technical standards for the reporting of transactions..." (i.e. transaction reporting to supervisory entities)	2017__590 CDR_transaction_reporting 2017__590 DV_Meldung_von_Geschäften
5-Oct-2016	consultation: ESMA/2016/1436 final: esma35-43-620	ESMA consultation paper + guidelines ... on MiFID II *product governance* requirements ( nine questions & the draft guidelines in Annex 3)	2016_1436 cp_guidelines_on_product_governance Nach Konsultation im "Final Report" veröffentlicht als: esma35-43-620_report_on_guidelines_on_product_governance
10-Oct-2016	ESMA/2016/1452	ESMA GUIDELINES Transaction reporting, order record keeping and clock synchronisation under MiFID II ( Guidelines for implementing RTS 22, 24 and 25)	2016_1452_guidelines_mifid_ii_transaction_reporting 2016_1452_guidelines_mifid_ii_transaction_rpt_de
4-Apr-2017 (updates 3-oct-2017 and 11-Jul-2019)	ESMA35-43-349 Deutsche Übers.: BaFin 8.5.2018	ESMA Questions and Answers On MiFID II and MiFIR investor protection topics 1 Best ex 2 Suitability and appropriateness 3 Recording of telephone conversations and electronic communications 4 Record keeping 5 Investment advice on an independent basis 6 Underwriting and placing 7 Inducements (research) 8 Post-sale reporting 9 Information on costs and charges	2019 esma35-43-349_qas Deutsche Übersetzung der BaFin: dl_faq_ESMA_mifid2_deutsch passende Präsentation der BaFin: Kostentransparenz (Claire Kütemeier / 27.Okt.2017)
17-Jul-2017	ESMA/2016/1521	Technical Reporting Instructions MiFIR Transaction Reporting	2016-1521_reporting_instructions
3-Jan-2022	Final Report: ESMA35-43-2938 Guidelines: ESMA35-43-3006	ESMA GUIDELINES Guidelines on certain aspects of the MiFID II appropriateness and execution-only requirements. (Erläuterungen u.a. bei bindergroesswang.at)	ESMA35-43-3006_Leitlinien
16-Feb-2021	(EU)2021/338	Richtlinie ... zur Änderung ... zur Förderung der wirtschaftlichen Erholung von der COVID-19-Krise (die "MiFID2-QuickFix" Richtlinie)	2021__338_RichtlinieQuickFix
22-Sep-2022	28 May 2018 ESMA35-43-869 23 Sep 2022 ESMA35-43-3172	Final Report Guidelines on certain aspects of the MiFID II suitability requirements Leitlinien zu einigen Aspekten der MiFID II-Anforderungen an die Geeignetheit	Es gibt offenbar eine alte und eine neue Version. die alte vom 28 May 2018: ESMA35-43-869 die neue vom 23 Sep 2022: ESMA35-43-3172 (auch in Deutsch)