MiFID II | Regulatory-Hub

Official name

DIRECTIVE 2014/65/EU OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 15 May 2014on markets in financial instruments and amending Directive 2002/92/EC and Directive 2011/61/EU
(recast)

Type

Directive

Level 1

Initiator

Submitted

20.10.2011

Doc. code

2014/65

Summary

Status

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Current version

Final version

15.05.2014

Next step

Entry into force

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Application date

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Scope

Relevant for

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Level 1

Extension of ESMA's powers and harmonisation of supervision of internal models under Solvency II (non-binding, Amendment, EU)

MiFID / MiFIR shift of effective date (binding, Amendment, EU)

Depotgesetz Austria (binding, Main version, Amendment, AT)

MAD II (binding, Main version, EU)

Company law novell 2016 (binding, Amendment, DE)

Amendment of MiFID II due to the COVID-19 pandemic (MiFID Quick Fix) (binding, Amendment, EU)

DORA Directive (binding, Amendment, EU)

CMU - Directive on European Crowdfunding Service Providers (ECSP) (binding, Amendment, EU)

Investment firm directive (IFD) (binding, Main version, Amendment, EU)

Amendments to certain Directives regulating public financial and non-financial disclosure in order to establish the ESAP (binding, Amendment, EU)

Directive amending the retail investor protection rules (binding, Amendment, EU)

Amendment of the MiFID II framework (binding, Amendment, EU)

Listing Package: Directive amending MiFID II (binding, Amendment, EU)

Application for DPE status for investment firms (non-binding, DE)

Level 2

RTS 17: admission of financial instruments to trading on regulated markets (binding, EU)

Amendment of the time limited equivalence for Central Securities Depositories after the Brexit (non-binding, EU)

Registration conditions to promote the use of SME growth markets (binding, EU)

Equivalence of legal and supervisory framework applicable to stock exchanges in Switzerland (binding, EU)

Internalised settlements reporting (binding, EU)

ITS on Internalised settlements (binding, EU)

RTS on information to be notified by investment firms, market operators and credit institutions (binding, Supplement, EU)

RTS on prospectus related issues under the Omnibus II Directive (non-binding, EU)

Change of the financial investment brokerage regulation (FinVermV) (binding, Amendment, DE)

MiFID II - standard forms, templates and procedures for the transmission of information (binding, Main version, EU)

RTS on Information and requirements for the authorisation of investment firms (binding, Supplement, EU)

ITS on Notifications by and to applicant and authorised investment firms (binding, Supplement, EU)

Specification of the definition of systematic internalisers under MiFID II (binding, EU)

Standard forms, models and procedures for the approval of data provision services (binding, EU)

Sanctions and measures on market abuse (binding, Supplement, EU)

ITS 4: Position reporting (binding, Supplement, EU)

Format and timing of the communications and the publication of the suspension and removal of financial instruments (binding, EU)

MiFID II - standard forms, models and procedures for cooperation on trade venues (binding, Supplement, EU)

RTS 20: Criteria when an activity is considered to be ancillary to the main business (binding, EU)

RTS 6:Specifying the organisational requirements of investment firms engaged in algorithmic trading (binding, EU)

RTS on Cooperation between authorities (non-binding, Supplement, EU)

RTS 7: Specifying organisational requirements of facilities trading venues allowances and derivatives (binding, EU)

RTS 11: Tick size regime for shares, depositaryreceipts and, exchange traded funds (binding, EU)

RTS 8: Requirements on market making ageements and schemes (binding, EU)

RTS 28: publication of information by investment firms (binding, EU)

RTS 27: Data to be provided by execution venues on the quality of execution of transactions (binding, EU)

RTS 25: Accuracy of business clocks (binding, EU)

RTS 10: Fair and non-discriminatory co-location services and fee structures (binding, EU)

RTS 13: Requirements for data reporting services providers (binding, Supplement, EU)

ITS 19: Description of the functioning of MTFs and OTFs (binding, Supplement, EU)

RTS 12: Determination of a material market in terms of liquidity relating to halt notifications (binding, EU)

RTS 18: Suspension and removal of financial instruments from trading reporting services providers (binding, EU)

RTS 9: The ratio of unexecuted orders totransactions (binding, EU)

Information on qualifying holdings in investment firms (binding, Supplement, EU)

Standard forms, templates and procedures for the consultation of other competent authorities (non-binding, Supplement, EU)

Wertpapierdienstleistungs-Prüfungsverordnung - WpDPV (binding, Supplement, DE)

Integration of sustainability factors and preferences into the product governance obligations (binding, EU)

Integration of sustainability factors, risks and preferences into organisational requirements for investment firms (binding, EU)

Equivalence of designated contract markets in the United States (binding, Amendment, EU)

RTS on the update of the guidelines on governing bodies of data reporting services (binding, Supplement, EU)

Equivalence of securities exchanges in the US (binding, EU)

Amendment of Annex II of ITS 4 regarding the format of the daily position report (binding, Amendment, EU)

RTS 21: Application of position limits to commodity derivatives (non-binding, EU)

Regulation amending the Trade Notification Regulation and the Financial Investment Brokerage Regulation (binding, Amendment, DE)

RTS amending the rules for the European passport for investment services (binding, Amendment, EU)

ITS amending the rules on the European passport for investment services (binding, Amendment, EU)

Regulations concerning investor protection (binding, EU)

Organisational requirements and operating conditions for investment firms (binding, Amendment, EU)

Research on companies seeking alternative financing (updated rules in light of COVID-19) (binding, Amendment, EU)

Correction RTS for organisational requirements for investment firms (binding, Amendment, EU)

Technical Standards for the Application of Position Limits for Commodity Derivatives and Exception Application Procedures (binding, Supplement, EU)

Amendment of criteria when an activity is considered to be ancillary to the main business (binding, Supplement, EU)

Specifying the content of position management controls by trading venues (binding, Supplement, EU)

Format for the reporting of information according to MiFID II by third-country firms (binding, Supplement, EU)

Amendments to the RTS on position management controls (binding, Amendment, EU)

Amendments to ITS 4 (binding, Amendment, EU)

MiFIR Consultation Package 3 - Circuit breakers (new RTS) (binding, Supplement, EU)

RTS on the order execution policy of investment firms (binding, Supplement, EU)

Amendments to the research provisions in the MiFID II (binding, Amendment, EU)

Level 3 / Other

MiFID II compliance function requirements (binding, EU)

Guidelines on the application of C6 and C7 of Annex 1 of MiFID II (binding, EU)

Cost of market data and post-trade consolidated tape (CT) for equity instruments (non-binding, EU)

Integrating sustainability risks and factors in MiFID II (non-binding, EU)

Q&A on MiFID II and MiFIR commodity derivatives topics (binding, EU)

Guidelines on outsourcing (binding, EU)

General ruling concerning contracts for difference (binding, DE)

Product Governance Requirements (non-binding, EU)

FAQs on MiFID II - Transitional Transparency Calculations (binding, EU)

Suitability assessment for management body of market operators and data reporting service providers (binding, EU)

Q&A on MiFID II and MiFIR post-trading topics (binding, EU)

Calibration of circuit breakers and publication of trading halts (binding, EU)

Market Data Reporting under MiFIR (binding, EU)

Q&A on provision of CFDs and other speculative products to retail investors under MiFID (binding, EU)

Assessment of knowledge and competence (binding, EU)

Guidelines for cross-selling practices (non-binding, EU)

UK data in ESMA databases and performance of MiFID II calculations (non-binding, EU)

MiFID II/MiFIR and BMR provisions under a no-deal Brexit (binding, EU)

Statement on the use of UK-database for MiFID II calculations in case of no-deal Brexit (non-binding, EU)

Guidelines on complex debt instruments and structured deposits (binding, EU)

Qualifying holdings in the financial sector (binding, EU)

Exemption for forward exchange transactions according to MiFID II (binding, DE)

Position limits to commodity derivatives (binding, DE)

Systematic Internalisers’ Quote rules (binding, DE)

Algorithmic trading and direct electronic market access (binding, DE)

C6 energy derivative contracts and the EMIR requirements (non-binding, EU)

MiFID II/ MiFIR review report on the transparency regime for non-equity instruments (non-binding, EU)

Position on Call Taping under MIFID II during COVID-19 (binding, EU)

Position limits and position management in commodity derivatives (non-binding, EU)

ESMA reminds firms of conduct of business obligations under MiFID II (non-binding, EU)

Market Size Calculation (non-binding, EU)

Integration of sustainability risks and sustainability factors (non-binding, EU)

Supervisory briefing on MiFID II - Appropriateness and execution-only (non-binding, EU)

MiFID II supervisory briefing on the supervision of non-EU branches of EU firms (non-binding, EU)

Costs and Performance of Structured Deposits (non-binding, EU)

Information to clients regarding Brexit under MiFID (non-binding, EU)

Supervisory briefing on MiFID II suitability requirements (non-binding, EU)

ESMA 2019 Work Programme (non-binding, EU)

EBA report on Funding Plans (non-binding, EU)

Automation in financial advice (non-binding, EU)

Clarification of ancillary activities under MiFID II (non-binding, EU)

Post-trade in a CMU (non-binding, EU)

MiFID II/MiFIR obligations on market data (binding, EU)

MiFID II appropriateness and execution-only requirements (binding, EU)

FinDatEx: European MiFID Template (non-binding, EU)

Supervisory approach to position limits (non-binding, EU)

MiFID II review report on the functioning of the regime for SME Growth Markets (non-binding, EU)

Leaflet on the facts of operating an organised trading facility (binding, DE)

Risks arising from payment for order flow (non-binding, EU)

SPACs: prospectus disclosure and investor protection considerations (non-binding, EU)

Guidelines on certain aspects of the MiFID II remuneration requirements (binding, Supplement, EU)

IDW practical hints on the audit of financial investment intermediaries (non-binding, DE)

New version of IDW PS 521 on the audit of the securities services business (non-binding, DE)

Review of the MiFID II framework on best execution reports (non-binding, EU)

ESMA MiFID II/MiFIR review report on algorithmic trading (non-binding, EU)

BMF on adjustments in MiFID and PRIIPS (non-binding, DE)

Expectations for firms using tied agents under MiFID II (non-binding, EU)

Advice on specific aspects of retail investor protection (non-binding, EU)

FinDatEx: European ESG Template (non-binding, EU)

FinDatEx: European Feedback Template MiFID2 (non-binding, EU)

Classification of third-country financial entities in the weekly position reports according to MiFID II (non-binding, EU)

General ruling on the revocation of position limits (binding, DE)

Impact of inflation in the context of retail investment services (non-binding, EU)

General ruling regarding futures with margin requirements (binding, DE)

Application of the conduct of business rules under the WAG 2018 (non-binding, AT)

MiFID II Supervisory briefing - Supervision of cross-border activity of investment firms (non-binding, EU)

Guidance for the admission as a trading venue (non-binding, EU)

Public Statement on derivatives on fractions of shares (non-binding, EU)

Supervisory Briefing for Copy Trading Services (non-binding, EU)

Report on market outages (non-binding, Supplement, EU)

Statement on investment firms providing unregulated services (binding, EU)

Supervisory briefing on understanding the definition of advice under MiFID II (non-binding, EU)

Guidelines on certain aspects of the suitability requirements and format of the periodic statement for portfolio management activities under MiCA (3rd package) (binding, Supplement, EU)

ESMA statement for the use of artificial intelligence in securities services (non-binding, EU)

Guidelines for market making and primary market exemptions (binding, EU)

Q&A on MiFID II and MiFIR transparency topics (binding, EU)

Q&A on MiFID II and MiFIR investor protection and intermediaries topics (binding, EU)

ESMA - Q&A: MiFIR Reporting (binding, Supplement, EU)

Rules of Conduct under MiFID II (binding, Supplement, DE)

Data for systematic internaliser calculations (non-binding, EU)

Q&A on MiFID II and MiFIR market structure (binding, EU)

Review of MiFID II suitability guidelines (binding, EU)

Revision of guidelines on MIFID II product governance requirements (binding, Supplement, EU)

Manual on post-trade transparency (binding, EU)

Results of the CSA and Mystery shopping exercise on MiFID II (non-binding, EU)

MiFID II investor protection topics linked to digitalisation (non-binding, EU)

Deprioritisation of supervisory actions on the obligation to publish RTS 28 reports (binding, Supplement, EU)

ESMA - Q&A: MiFID II - Secondary Markets (binding, EU)

Source: EU, 2014/65, 2014