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Version status: Applicable | Document consolidation status: Updated to reflect all known changes
Published date: 12 June 2014

Regulation 600/2014/EU - MiFIR Regulation

 Public statement
Actions to mitigate the impact of COVID-19 on the EU financial markets – postponement of the reporting obligations related to securities financing transactions under the Securities Financing Transactions Regulation and under Markets in Financial Instruments Regulation (ESMA80-191-995)
Recitals
Title I Subject matter, scope and definitions (arts. 1-2)
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Article 1 Subject matter and scope
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Article 2 Definitions
Title II Transparency for trading venues (arts. 3-13)
Chapter 1 Transparency for equity instruments (arts. 3-7)
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Article 3 Pre-trade transparency requirements for trading venues in respect of shares, depositary receipts, ETFs, certificates and other similar financial instruments
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Article 4 Waivers for equity instruments
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Article 5 Volume cap mechanism
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Article 6 Post-trade transparency requirements for trading venues in respect of shares, depositary receipts, ETFs, certificates and other similar financial instruments
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Article 7 Authorisation of deferred publication
Chapter 2 Transparency for non-equity instruments (arts. 8-11)
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Article 8 Pre-trade transparency requirements for trading venues in respect of bonds, structured finance products, emission allowances and derivatives
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Article 9 Waivers for non-equity instruments
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Article 10 Post-trade transparency requirements for trading venues in respect of bonds, structured finance products, emission allowances and derivatives
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Article 11 Authorisation of deferred publication
Chapter 3 Obligation to offer trade data on a separate and reasonable commercial basis (arts. 12-13)
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Article 12 Obligation to make pre-trade and post-trade data available separately
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Article 13 Obligation to make pre-trade and post-trade data available on a reasonable commercial basis
Title III Transparency for Systematic Internalisers and Investment Firms Trading OTC and Tick Size Regime for Systematic Internalisers (arts. 14-23)
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Article 14 Obligation for systematic internalisers to make public firm quotes in respect of shares, depositary receipts, ETFs, certificates and other similar financial instruments
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Article 15 Execution of client orders
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Article 16 Obligations of competent authorities
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Article 17 Access to quotes
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Article 17a Tick sizes
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Article 18 Obligation for systematic internalisers to make public firm quotes in respect of bonds, structured finance products, emission allowances and derivatives
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Article 19 Monitoring by ESMA
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Article 20 Post-trade disclosure by investment firms, including systematic internalisers, in respect of shares, depositary receipts, ETFs, certificates and other similar financial instruments
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Article 21 Post-trade disclosure by investment firms, including systematic internalisers, in respect of bonds, structured finance products, emission allowances and derivatives
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Article 22 Providing information for the purposes of transparency and other calculations
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Article 23 Trading obligation for investment firms
Title IV Transaction reporting (arts. 24-27)
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Article 24 Obligation to uphold integrity of markets
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Article 25 Obligation to maintain records
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Article 26 Obligation to report transactions
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Article 27 Obligation to supply financial instrument reference data
Title IVa Data reporting services (arts. 27a-27i)
Chapter 1 Authorisation of data reporting services providers (arts. 27a-27f)
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Article 27a
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Article 27b Requirement for authorisation
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Article 27c Authorisation of data reporting services providers
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Article 27d Procedures for granting and refusing applications for authorisation
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Article 27e Withdrawal of authorisation
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Article 27f Requirements for the management body of a data reporting services provider
Chapter 2 Conditions for APAs, CTPs and ARMs (arts. 27g-27i)
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Article 27g Organisational requirements for APAs
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Article 27h Organisational requirements for CTPs
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Article 27i Organisational requirements for ARMs
Title V Derivatives (arts. 28-34)
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Article 28 Obligation to trade on regulated markets, MTFs or OTFs
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Article 29 Clearing obligation for derivatives traded on regulated markets and timing of acceptance for clearing
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Article 30 Indirect clearing arrangements
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Article 31 Portfolio compression
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Article 32 Trading obligation procedure
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Article 33 Mechanism to avoid duplicative or conflicting rules
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Article 34 Register of derivatives subject to the trading obligation
Title VI Non-discriminatory clearing access for financial instruments (arts. 35-38)
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Article 35 Non-discriminatory access to a CCP
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Article 36 Non-discriminatory access to a trading venue
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Article 37 Non-discriminatory access to and obligation to licence benchmarks
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Article 38 Access for third-country CCPs and trading venues
Title VIa ESMA powers and competences (arts. 38a-38o)
Chapter 1 Competences and procedures (arts. 38a-38g)
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Article 38a Exercise of ESMA's powers
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Article 38b Request for information
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Article 38c General investigations
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Article 38d On-site inspections
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Article 38e Exchange of information
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Article 38f Professional secrecy
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Article 38g Supervisory measures by ESMA
Chapter 2 Administrative sanctions and other administrative measures (arts. 38h-38o)
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Article 38h Fines
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Article 38i Periodic penalty payments
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Article 38j Disclosure, nature, enforcement and allocation of fines and periodic penalty payments
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Article 38k Procedural rules for taking supervisory measures and imposing fines
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Article 38l Hearing of the persons concerned
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Article 38m Review by the Court of Justice
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Article 38n Authorisation and supervisory fees
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Article 38o Delegation of tasks by ESMA to competent authorities
Title VII Supervisory measures on product intervention and positions (arts. 39-45)
Chapter 1 Product monitoring and intervention (arts. 39-43)
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Article 39 Market monitoring
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Article 40 ESMA temporary intervention powers
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Article 41 EBA temporary intervention powers
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Article 42 Product intervention by competent authorities
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Article 43 Coordination by ESMA and EBA
Chapter 2 Positions (arts. 44-45)
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Article 44 Coordination of national position management measures and position limits by ESMA
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Article 45 Position management powers of ESMA
Title VIII Provision of sevices and performance of activities by third-country firms following an equivalence decision with or without a branch (arts. 46-49)
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Article 46 General provisions
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Article 47 Equivalence decision
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Article 48 Register
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Article 49 Withdrawal of registration
Title IX Delegated and implementing acts (arts. 50-51)
Chapter 1 Delegated acts (art. 50)
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Article 50 Exercise of the delegation
Chapter 2 Implementing acts (art. 51)
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Article 51 Committee procedure
Title X Final provisions (arts. 52-55)
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Article 52 Reports and review
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Article 53 Amendment of regulation (EU) No 648/2012
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Article 54 Transitional provisions
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Article 54a Transitional measures related to ESMA
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Article 54b Relations with auditors
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Article 55 Entry into force and application
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