Regulatory framework

Provision in Luxembourg of investment services or performance of investment activities and ancillary services in accordance with Article 32-1 of the LFS

on the equivalence of the legal and supervisory framework applicable to approved exchanges and recognised market operators in Singapore in accordance with Regulation (EU) No 600/2014 of the European Parliament and of the Council (notified under document C(2019) 2349) (Text with EEA relevance.)

ESMA35-43-1163

on the protection 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

on markets in financial instruments

Update of Circular CSSF 17/668 concerning the ESMA Guidelines on calibration of circuit breakers and publication of trading halts under Directive 2014/65/EU on markets in financial instruments (“MiFID II”) and details on reporting of circuit breakers’ parameters

Guidelines of the European Securities and Markets Authority (ESMA) on the management body of market operators and data reporting services providers

ESMA35-43-620

laying down implementing technical standards with regard to standard forms, templates and procedures for the transmission of information in accordance with Directive 2014/65/EU of the European Parliament and of the Council

Link to the ESMA Q&A Tool

Link to the ESMA Q&A Tool

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

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

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

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

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

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

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

ESMA70-154-271

supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards on indirect clearing arrangements