This document contains guidelines issued under Article 16 of the ESMA Regulation. In accordance with Article 16(3) of the ESMA Regulation CAs and financial market participants must make every effort to comply with guidelines and recommendations.
CAs to whom the guidelines apply should comply by incorporating them into their supervisory practices, including where particular guidelines within the document are directed primarily at financial market participants.
CAs to which these guidelines apply must notify ESMA whether they comply or intend to comply with the guidelines, with reasons for non-compliance, within two months of the date of publication by ESMA to MiFIRreportingGL@esma.europa.eu. In the absence of a response by this deadline, CAs will be considered as non-compliant. A template for notifications is available from the ESMA website.
Financial market participants are not required to report whether they comply with these guideli
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