№ files_lp_4_process_1_30695
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Industry questionnaire developed by the Association for Financial Markets in Europe in collaboration with European equities exchanges containing standardized questions on regulatory data, market operations, and compliance arrangements related to MiFID II implementation.
Year:
2016
Date:
19 January 2016
Document version:
1.0
Subject:
MiFID II regulatory compliance and market infrastructure
Document type:
Questionnaire
Organization:
Association for Financial Markets in Europe (AFME)
Regulatory framework:
MiFID II
Industry sector:
Wholesale financial markets
Target audience:
Investment firms and financial exchanges
Geographic scope:
European financial markets
Related organizations:
Global Financial Markets Association (GFMA); Securities Industry and Financial Markets Association (SIFMA); Asia Securities Industry and Financial Markets Association (ASIFMA)
Purpose:
Standardised information exchange between investment firms and exchanges regarding MiFID II requirements
Confidentiality note:
Responses provided by exchanges are confidential and intended only for the recipient firm and its affiliates
Distribution format:
Microsoft Word document
Content structure:
Sections on communication, confidentiality, due diligence, regulatory data management, algorithms, direct electronic access, order-to-trade ratios, and high-frequency trading
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Year:
2016
Note:
Region / City
Topic:
Due Diligence, Financial Services
Document Type:
Questionnaire
Author:
AFME
Target Audience:
Financial institutions and their regulatory bodies
Year:
2026
Note:
Region / City
Subject:
Due Diligence on Central Securities Depositories (CSDs)
Document Type:
Questionnaire
Organization:
AFME
Target Audience:
Direct participants of CSDs
Year:
2024
Region / City:
Europe
Topic:
Financial Markets
Document Type:
Agreement
Organ / Institution:
Association for Financial Markets in Europe (AFME)
Author:
Association for Financial Markets in Europe
Target Audience:
Financial professionals, members of AFME
Effective Period:
Until terminated
Approval Date:
October 2024
Date of Amendments:
None
Important Notice:
This document is a non-binding, recommended form
Description:
This is a standard agreement template for Initial Purchasers in high-yield debt securities offerings governed by English law.
Year:
2025
Region / City:
Not specified
Subject:
Due diligence on Central Securities Depositories (CSDs)
Document Type:
Questionnaire
Organization / Institution:
AFME
Author:
Not specified
Target Audience:
Direct participants of Central Securities Depositories (CSDs)
Effective Period:
Not specified
Approval Date:
Not specified
Amendment Date:
Not specified
Year:
2019
Note:
Region / City
Topic:
Due Diligence, Custody, Client Money Services
Document Type:
Questionnaire
Organization:
AFME
Target Audience:
Parties involved in custody and client money services
Year:
2023
Region / city:
United Kingdom
Subject:
MiFID Authorisation
Document type:
Application form
Institution:
Financial Conduct Authority (FCA)
Author:
Financial Conduct Authority
Target audience:
Firms seeking MiFID authorisation
Validity period:
Ongoing
Approval date:
Not specified
Amendment date:
Not specified
Year:
2014
Region / city:
European Union
Theme:
Financial Regulation
Document Type:
Consultation Paper
Author:
European Securities and Markets Authority (ESMA)
Target Audience:
Financial institutions, regulatory bodies, investors
Period of Validity:
Not specified
Approval Date:
Not specified
Date of Changes:
Not specified
Year:
2015
Region / city:
Global
Topic:
Financial Trading Regulations
Document Type:
Regulatory Guideline
Organ / institution:
European Securities and Markets Authority (ESMA)
Author:
ESMA
Target audience:
Financial institutions, brokers, trading venues
Effective Period:
Ongoing
Approval Date:
August 2015
Date of Amendments:
N/A
Year:
2024
Region / City:
Ireland
Subject:
Financial Sector, Acquisitions, Regulatory Compliance
Document Type:
Regulatory Form
Authority:
Central Bank of Ireland
Author:
Central Bank of Ireland
Target Audience:
MiFID Investment Firms, FSPs, UCITS Management Companies, AIFMs
Effective Period:
Ongoing
Approval Date:
May 2024
Amendment Date:
N/A
Year:
2019
Region / City:
Ireland
Subject:
Financial sector acquisitions
Document Type:
Regulatory form
Organization / Institution:
Central Bank of Ireland
Author:
Central Bank of Ireland
Target Audience:
MiFID & FSP authorised firms, financial sector professionals
Period of Effect:
Ongoing
Approval Date:
N/A
Amendment Date:
N/A
Year:
2014–2015
Region / Country:
European Union
Country of Respondent:
Germany
Document Type:
Consultation response form
Institution:
European Securities and Markets Authority (ESMA)
Respondent Organization:
Boerse Stuttgart Holding GmbH
Activity:
Regulated markets / Exchanges / Trading systems
Subject:
Financial markets regulation; MiFID II and MiFIR implementation
Consultation Reference:
ESMA/2014/1570
Submission Method:
Online submission via ESMA website
Response Deadline:
2 March 2015
Confidentiality Option:
Public disclosure unless non-disclosure requested
Sections Included:
Instructions for respondents; respondent information; consultation questions on investor protection and authorization procedures
Relevant Regulatory Framework:
MiFID II and MiFIR
Year:
2011
Region / Country:
Bulgaria
Topic:
Capital Market Integration and Financial Regulation
Document Type:
Research / Analytical Report
Institution:
World Bank
Department:
Financial and Private Sector Development Department, Central Europe and the Baltics Country Department
Author:
Knowledge and Advisory Services Team
Target Audience:
Policy makers, financial regulators, market participants
Period Covered:
2007–2010
Date of Publication:
June 2011
Main Regulations Discussed:
MiFID (Markets in Financial Instruments Directive)
Key Focus:
Bulgarian capital market structure, MiFID adoption, EU market integration, effects of financial crisis
Methodology:
Market analysis, institutional review, comparison with EU integration standards
References:
BSE, BALII, BIS, BME, BNBGSSS, CEESEG, ECB, IMF, EU FSAP documents
Tables and Figures:
Market capitalization, trading volumes, foreign investments, bond and equity market trends
Year:
2021
Region / City:
EU
Topic:
MiFID II Framework Review, Best Execution Reports
Document Type:
Consultation Paper
Institution:
ESMA
Author:
ESMA
Target Audience:
Execution venues, investment firms, investor associations, market participants
Period of validity:
Until 23 December 2021
Approval Date:
30 September 2021
Modification Date:
N/A
Year:
2012
Region / City:
Falls Church, VA
Topic:
TRICARE Dental Program, Data Exchange
Document Type:
Interface Control Document (ICD)
Organization / Institution:
DHSS Program Executive Office
Author:
Not specified
Target Audience:
DHSS Program Executive Office, TMA Contract Operations Office
Period of Validity:
Ongoing
Approval Date:
June 7, 2012
Date of Changes:
May 25, 2012
Year:
2004
Region / City:
Falls Church, VA
Topic:
Data Exchange, Health Care Provider Record
Document Type:
Technical Specification
Organization:
EI/DS Program Office
Author:
Mr. Phil Dederer, Mr. Steve Luhrman, Mr. Jeffrey Lopata, Mr. Allen Johnston
Target Audience:
Technical personnel, EI/DS Program Office members, TRICARE Management Activity-Aurora (TMA-Aurora) staff
Effective Period:
Not specified
Approval Date:
May 7, 2004
Revision Date:
Not specified
Year:
2019
Region / City:
Unknown
Topic:
Healthcare Data Exchange
Document Type:
Questionnaire
Organization:
athenahealth, Inc.
Author:
Unknown
Target Audience:
Healthcare professionals, system integrators, and athenahealth clients
Period of Validity:
Not specified
Approval Date:
Not specified
Modification Date:
Not specified
Year:
2020
Region / City:
Middle East Technical University (METU)
Subject:
Higher education exchange programs
Document Type:
Application Procedure
Organization / Institution:
Middle East Technical University
Author:
International Cooperation Office
Target Audience:
METU students
Period of Validity:
2021-2022 Academic Year
Approval Date:
04.12.2020
Modification Date:
None
Year:
2007
Region / City:
Falls Church, VA
Topic:
Data Exchange, Healthcare Information Systems
Document Type:
Interface Control Document (ICD)
Organization / Institution:
EIDS Program Office
Author:
Not specified
Target Audience:
Military Health System, Healthcare IT Professionals
Effective Period:
Not specified
Approval Date:
March 9, 2007
Revision Date:
Not specified