Technical standards under Directive 2004/39/EC …

1 Technical standards under Directive 2004/39/EC (MiFID I), Directive 2014/65/EU (MiFID II) and Regulation (EU) No 600/2014 (MiFIR). (last updated: 01/02/2017). Adoption by the Acts as adopted Acts as adopted Acts as adopted End of EP/Council RTS/ITS Legal Basis european by the commission by the commission by the commission Published in the Official Journal scrutiny commission English version German version French version Transparency requirements for trading RTS 1 in English RTS 1 in German RTS 1 in French venues and investment firms in respect RTS1. MiFIR Articles 4(6), 7(2), 14(7), 14/07/2016 Publication in the OJ on hold until of shares, depositary receipts, 14/10/2016.

2 20(3), 22(4) and 23(3) C(2016) 4390 Corrigendum is finalised exchange-traded funds, certificates Annex to RTS 1 in Annex to RTS 1 in Annex to RTS 1 in and other similar financial instruments English German French Transparency requirements for trading RTS 2 in English RTS 2 in German RTS 2 in French RTS2. venues and investment firms in respect MiFIR Articles 1(8), 9(5), 11(4), 14/07/2016 Publication in the OJ on hold until 14/10/2016. of bonds, structured finance products, 21(5) and 22(4) C(2016) 4301 Corrigendum is finalised emission allowances and derivatives Annex to RTS 2 in Annex to RTS 2 in Annex to RTS 2 in English German French The volume cap mechanism and the RTS 3 in English RTS 3 in German RTS 3 in French RTS3.

3 Provision of information for the 13/06/2016 Publication in the OJ on hold until MiFIR Articles 5(9) and 22(4) 13/09/2016. purposes of transparency and other C(2016) 2711 Corrigendum is finalised Annex to RTS 3 in Annex to RTS 3 in Annex to RTS 3 in calculations English German French Criteria for determining whether RTS4. derivatives subject to the clearing 26/05/2016. MiFIR Article 32(6) RTS 4 in English RTS 4 in German RTS 4 in French 26/08/2016 OJ L 313, , p. 11 13. obligation should be subject to the C(2016) 2710. trading obligation Direct, substantial and foreseeable RTS5. 13/06/2016 Publication in the OJ on hold until effect of derivative contracts within the MiFIR Article 28(5) RTS 5 in English RTS 5 in German RTS 5 in French 13/09/2016.

4 C(2016) 3544 Corrigendum is finalised Union RTS 6 in English RTS 6 in German RTS 6 in French Specifying the organisational RTS6. MiFID II Article 17(7)(a) and 19/07/2016 Publication in the OJ on hold until requirements of investment firms 22/11/2016. (d) C(2016) 4478 Corrigendum is finalised engaged in algorithmic trading Annex to RTS 6 in Annex to RTS 6 in Annex to RTS 6 in English German French RTS 7 in English RTS 7 in German RTS 7 in French Specifying organisational requirements RTS7. MiFID II Article 48(12)(a),(c) 14/07/2016 Publication in the OJ on hold until of facilities trading venues allowances 14/10/2016. and (g) C(2016) 4387 Corrigendum is finalised and derivatives Annex to RTS 7 in Annex to RTS 7 in Annex to RTS 7 in English German French 1.

5 Adoption by the Acts as adopted Acts as adopted Acts as adopted End of EP/Council RTS/ITS Legal Basis european by the commission by the commission by the commission Published in the Official Journal scrutiny commission English version German version French version MiFID II Article 17(7)(a), (b). R T S 9 R T S R1 T S 8. Specifying therequirements Transparency requirementsfor ontrading market 13/06/2016 Publication in the OJ on hold until and (c) and Article 48(12)(a) RTS 8 in English RTS 8 in German RTS 8 in French 13/09/2016. making agreements and schemes venues and investment firms in respect C(2016) 3523 Corrigendum is finalised and MiFIR Articles (f) 7(2), 14(7), 4(6), 14/07/2016 Publication in the OJ on hold until of shares, depositary receipts, 14/10/2016.

6 20(3), 22(4) and 23(3) C(2016) 4390 Corrigendum is finalised exchange-traded funds, certificates and other similar financial instruments RTS 9 in English RTS 9 in German RTS 9 in French The ratio of unexecuted orders to 18/05/2016 Publication in the OJ on hold until MiFID II Article 48(12)(b) 18/08/2016. transactions C(2016) 2775 Corrigendum is finalised Annex to RTS 9 Annex to RTS 9 Annex to RTS 9. in English in German in French Requirements to ensure fair and non- R T S 10. 06/06/2016 Publication in the OJ on hold until discriminatory co-location services and MiFID II Article 48(12)(d) RTS 10 in English RTS 10 in German RTS 10 in French 06/09/2016. C(2016) 3266 Corrigendum is finalised fee structures RTS 11 in English RTS 11 in German RTS 11 in French R T S 11.

7 Tick size regime for shares, depositary 14/07/2016 Publication in the OJ on hold until MiFID II Article 49(3) and (4) 14/10/2016. receipts and, exchange traded funds C(2016) 4389 Corrigendum is finalised Annex to RTS 11 in Annex to RTS 11 in Annex to RTS 11 in English German French Determination of a material market in R T S 12. 26/05/2016 Publication in the OJ on hold until terms of liquidity relating to halt MiFID II Article 48(12)(e) RTS 12 in English RTS 12 in German RTS 12 in French 26/08/2016. C(2016) 3020 Corrigendum is finalised notifications Authorization, organisational R T S 13. requirements and the publication of MiFID II Articles 61(4), 64(6),(8), 02/06/2016 Publication in the OJ on hold until RTS 13 in English RTS 13 in German RTS 13 in French 02/09/2016.

8 Transactions for data reporting services 65(6), (8), and 66(5) C(2016) 3201 Corrigendum is finalised providers Specification of the offering of pre-and R T S 14. 02/06/2016 Publication in the OJ on hold until post-trade data and the level of MiFIR Article 12(2) RTS 14 in English RTS 14 in German RTS 14 in French 02/09/2016. C(2016) 3206 Corrigendum is finalised disaggregation of data RTS 15 in English RTS 15 in German RTS 15 in French R T S 15. Clearing access in respect of trading 24/06/2016 Publication in the OJ on hold until MiFIR Articles 35(6) and 36(6) 26/09/2016. venues and central counterparties C(2016) 3807 Corrigendum is finalised Annex to RTS 15 Annex to RTS 15 Annex to RTS 15.

9 In English in German in French 2. Adoption by the Acts as adopted Acts as adopted Acts as adopted End of EP/Council RTS/ITS Legal Basis european by the commission by the commission by the commission Published in the Official Journal scrutiny commission English version German version French version R T RS T1S 16. Transparency requirements for trading MiFIR Article 37(4) (a), (b), 02/06/2016. Access venues in andrespect of benchmarks investment firms in respect RTS 16 in English RTS 16 in German RTS 16 in French 02/09/2016 OJ L 313, , p. 6 10. and MiFIR Articles (c) 7(2), 14(7), 4(6), C(2016) 3203. 14/07/2016 Publication in the OJ on hold until of shares, depositary receipts, 14/10/2016.

10 20(3), 22(4) and 23(3) C(2016) 4390 Corrigendum is finalised exchange-traded funds, certificates and other similar financial instruments R T S 17. Admission of financial instruments to MiFIR 3rd subpara Article 24/05/2016 Publication in the OJ on hold until RTS 17 in English RTS 17 in German RTS 17 in French 24/08/2016. trading on regulated markets 51(6) C(2016) 3017 Corrigendum is finalised Suspension and removal of financial MiFID II 10th subpara of Article R T S 18. 24/05/2016 Publication in the OJ on hold until instruments from trading reporting 32(2) and the 10th subpara of RTS 18 in English RTS 18 in German RTS 18 in French 24/08/2016. C(2016) 3014 Corrigendum is finalised services providers Article 52(2).