News and Views MiFID II Special Edition 2016

64 / 72

Markets and Securities Services | Issue 46 62
RTS/ITS Topic Link to Level 1 Adopted by EU
Commission
End scrutiny period
RTS 1 and
Annexes
Transparency requirements for trading venues & investment firms
in respect of shares, depositary receipts, exchange traded funds,
certificates and other similar instruments
MiFIR
Articles 4(6), 7(2),
14(7), 20(3), 22(4) &
23(3)
14 July 2016
C(2016) 4390
14 October 2016
RTS 2 and
Annexes
Transparency requirements for trading venues & investment
firms in respect of bonds, structured finance products, emission
allowances & derivatives
MiFIR
Articles 1(8), 9(5),
11(4), 21(5) & 22(4)
14 July 2016
C(2016) 4301
14 October 2016
RTS 3 and
Annexes
Volume cap mechanism & provisions of information for purposes
of transparency & other calculations
MiFIR
Article 5(9), 22(4)
13 June 2016
C(2016) 2711
13 September 2016
RTS 4
Criteria for determining whether derivatives subject to the
clearing obligation should be subject to the trading obligation
MiFIR
Article 32(6)
26 May 2016
C(2016) 2710
26 August 2016
RTS 5
Direct, substantial & foreseeable effect of derivative contracts
within the Union
MiFIR
Article 28(5)
13 June 2016
C(2016) 3544
13 September 2016
RTS 6 and
Annexes
Specifying organisational requirements for investment firms
engaged in algorithmic trading
MiFID
Article 17(7) (a) & (d)
19 July 2017
C(2016) 4478
22 November 2016
RTS 7and
Annexes
Organisational requirements of facilities trading venues
allowances & derivatives
MiFID
Article 48(12)(a), (c)
& (g)
14 July 2016
C(2016) 4387
14 October 2016
RTS 8 Requirements on market making agreements & schemes
MiFID
Article 17(7)(a), (b) &
(c) & Article 48(12)
(a) & (f)
13 June 2016
C(2016) 3523
13 September 2016
RTS 9 and
Annexes
Ratio of unexecuted orders to transactions
MiFID
Article 48(12)(b)
18 May 2016
C(2016)2775
18 August 2016
RTS 10
Requirements to ensure fair & no-discriminatory co-location
services & fee structures
MiFID
Article 48(12)(d)
6 June 2016
C(2016) 3266
6 September 2016
RTS 11 and
Annexes
Tick size regime for shares, depositary receipts & ETFs
MiFID
Article 49(3) & (4)
14 July 2016
C(2016) 4387
14 October 2016
RTS 12
Determination of a material market in terms of liquidity relating
to halt notifications
MiFID
Article 48(12)(e)
26/05/2016
C(2016) 3020
26 August 2016
RTS 13
Authorisation, organisational requirements and the publication of
transactions for data reporting services providers
MiFID
Articles 61(4), 64(6) &
(8), 65(6), (8) & 66(5)
2 June 2016
C(2016) 3020
2 September 2016
RTS 14
Specification of the offering of pre- and post-trade data and the
level of disaggregation of data.
MiFIR
Article 12(2)
2 June 2016
C(2016) 3206
2 September 2016
RTS 15 and
Annexes
Clearing access in respect of trading venues and central
counterparties.
MiFIR
Articles 35(6) and
36(6)
24 June 2016
C(2016) 3807
26 September 2016
List of RTS/ITS and Delegated Acts linked to Directive 2014/65/EU (MiFID II)
and Regulation (EU) No 600/2014 on Markets in Financial Instruments (MiFIR).
Source: , last accessed on 7 October 2016.