Technical standards under Directive 2004/39/EC (MiFID I ...

1 RTS/ITSL egal BasisAdoption by the european CommissionActs as adoptedby the CommissionEnglish versionActs as adoptedby the CommissionGerman versionActs as adoptedby the CommissionFrench versionEnd of EP/Council scrutiny Published in the Official JournalRTS 1 in EnglishRTS 1 in GermanRTS 1 in FrenchAnnex to RTS 1 in EnglishAnnex to RTS 1 in GermanAnnex to RTS 1 in FrenchRTS 2 in EnglishRTS 2 in GermanRTS 2 in FrenchAnnex to RTS 2 in EnglishAnnex to RTS 2 in GermanAnnex to RTS 2 in FrenchRTS 3 in EnglishRTS 3 in GermanRTS 3 in FrenchAnnex to RTS 3 in EnglishAnnex to RTS 3 in GermanAnnex to RTS 3 in FrenchR T S 4 Criteria for determining w hether derivatives subject to the clearing obligation should be subject to the trading obligationMiFIR Article 32(6)26/05/2016C(2016) 2710 RTS 4 in EnglishRTS 4 in GermanRTS 4 in French26/08/2016OJ L 313, , p.

2 11 13 R T S 5 Direct, substantial and foreseeable effect of derivative contracts w ithin the UnionMiFIR Article 28(5)13/06/2016C(2016) 3544 RTS 5 in EnglishRTS 5 in GermanRTS 5 in French13/09/2016 Publication in the OJ on hold until Corrigendum is finalised RTS 6 in EnglishRTS 6 in GermanRTS 6 in FrenchAnnex to RTS 6 in EnglishAnnex to RTS 6 in GermanAnnex to RTS 6 in FrenchRTS 7 in EnglishRTS 7 in GermanRTS 7 in FrenchAnnex to RTS 7 in EnglishAnnex to RTS 7 in GermanAnnex to RTS 7 in French22/11/2016 Publication in the OJ on hold until Corrigendum is finalised Technical standards under Directive 2004/39/EC ( mifid I), Directive 2014/65/EU ( mifid II) and Regulation (EU)

3 No 600/2014 (MiFIR)(last updated: 01/02/2017)R T S 3 The volume cap mechanism and the provision of information for the purposes of transparency and other calculationsMiFIR Articles 5(9) and 22(4)13/06/2016C(2016) 2711 13/09/2016 Publication in the OJ on hold until Corrigendum is finalised mifid II Article 17(7)(a) and (d)19/07/2016 C(2016) 447814/10/2016R T S 1 MiFIR Articles 4(6), 7(2), 14(7), 20(3), 22(4) and 23(3)14/07/2016 C(2016) 4390 Publication in the OJ on hold until Corrigendum is finalised Publication in the OJ on hold until Corrigendum is finalised R T S 7 Specifying organisational requirements of facilities trading venues allow ances and derivativesMiFID II Article 48(12)(a),(c) and (g)14/07/2016 C(2016)

4 438714/10/2016 Publication in the OJ on hold until Corrigendum is finalised R T S 2 Transparency requirements for trading venues and investment firms in respect of bonds, structured finance products, emission allow ances and derivativesMiFIR Articles 1(8), 9(5), 11(4), 21(5) and 22(4)14/07/2016 C(2016) 430114/10/2016R T S 6 Specifying the organisational requirements of investment firms engaged in algorithmic tradingTransparency requirements for trading venues and investment firms in respect of shares, depositary receipts, exchange-traded funds.

5 Certificates and other similar financial instruments1 RTS/ITSL egal BasisAdoption by the european CommissionActs as adoptedby the CommissionEnglish versionActs as adoptedby the CommissionGerman versionActs as adoptedby the CommissionFrench versionEnd of EP/Council scrutiny Published in the Official Journal14/10/2016R T S 1 MiFIR Articles 4(6), 7(2), 14(7), 20(3), 22(4) and 23(3)14/07/2016 C(2016) 4390 Publication in the OJ on hold until Corrigendum is finalised Transparency requirements for trading venues and investment firms in respect of shares, depositary receipts, exchange-traded funds, certificates and other similar financial instrumentsR T S 8 Specifying the requirements on market making agreements and schemesMiFID II Article 17(7)(a), (b) and (c) and Article 48(12)(a) and (f)13/06/2016C(2016)

6 3523 RTS 8 in EnglishRTS 8 in GermanRTS 8 in French13/09/2016 Publication in the OJ on hold until Corrigendum is finalised RTS 9 in EnglishRTS 9 in GermanRTS 9 in FrenchAnnex to RTS 9in EnglishAnnex to RTS 9in GermanAnnex to RTS 9in FrenchR T S 10 Requirements to ensure fair and non-discriminatory co-location services and fee structuresMiFID II Article 48(12)(d)06/06/2016C(2016) 3266 RTS 10 in EnglishRTS 10 in GermanRTS 10 in French06/09/2016 Publication in the OJ on hold until Corrigendum is finalised RTS 11 in EnglishRTS 11 in GermanRTS 11 in FrenchAnnex to RTS 11 in EnglishAnnex to RTS 11 in GermanAnnex to RTS 11 in FrenchR T S 12 Determination of a material market in terms of liquidity relating to halt notificationsMiFID II Article 48(12)(e)26/05/2016C(2016)

7 3020 RTS 12 in EnglishRTS 12 in GermanRTS 12 in French26/08/2016 Publication in the OJ on hold until Corrigendum is finalised R T S 13 Authorization, organisational requirements and the publication of transactions for data reporting services providersMiFID II Articles 61(4), 64(6),(8), 65(6), (8), and 66(5)02/06/2016C(2016) 3201 RTS 13 in EnglishRTS 13 in GermanRTS 13 in French02/09/2016 Publication in the OJ on hold until Corrigendum is finalised R T S 14 Specification of the offering of pre-and post-trade data and the level of disaggregation of dataMiFIR Article 12(2)02/06/2016C(2016)

8 3206 RTS 14 in EnglishRTS 14 in GermanRTS 14 in French02/09/2016 Publication in the OJ on hold until Corrigendum is finalised RTS 15 in EnglishRTS 15 in GermanRTS 15 in FrenchAnnex to RTS 15in EnglishAnnex to RTS 15in GermanAnnex to RTS 15in FrenchPublication in the OJ on hold until Corrigendum is finalised Publication in the OJ on hold until Corrigendum is finalised R T S 15R T S 11R T S 918/08/2016 Publication in the OJ on hold until Corrigendum is finalised The ratio of unexecuted orders to transactionsMiFID II Article 48(12)(b)18/05/2016C(2016) 2775 Clearing access in respect of trading venues and central counterpartiesMiFIR Articles 35(6) and 36(6)24/06/2016 C(2016) 380726/09/201614/07/2016 C(2016) 438914/10/2016 Tick size regime for shares, depositary receipts and, exchange traded fundsMiFID II Article 49(3) and (4)

9 2 RTS/ITSL egal BasisAdoption by the european CommissionActs as adoptedby the CommissionEnglish versionActs as adoptedby the CommissionGerman versionActs as adoptedby the CommissionFrench versionEnd of EP/Council scrutiny Published in the Official Journal14/10/2016R T S 1 MiFIR Articles 4(6), 7(2), 14(7), 20(3), 22(4) and 23(3)14/07/2016 C(2016) 4390 Publication in the OJ on hold until Corrigendum is finalised Transparency requirements for trading venues and investment firms in respect of shares, depositary receipts, exchange-traded funds, certificates and other similar financial instrumentsR T S 16 Access in respect of benchmarksMiFIR Article 37(4) (a), (b), and (c) 02/06/2016C(2016) 3203 RTS 16 in EnglishRTS 16 in GermanRTS 16 in French02/09/2016OJ L 313, , p.

10 6 10 R T S 17 Admission of financial instruments to trading on regulated marketsMiFIR 3rd subpara Article 51(6)24/05/2016C(2016) 3017 RTS 17 in EnglishRTS 17 in GermanRTS 17 in French24/08/2016 Publication in the OJ on hold until Corrigendum is finalised R T S 18 Suspension and removal of financial instruments from trading reporting services providersMiFID II 10th subpara of Article 32(2) and the 10th subpara of Article 52(2)24/05/2016C(2016) 3014 RTS 18 in EnglishRTS 18 in GermanRTS 18 in French24/08/2016 Publication in the OJ on hold until Corrigendum is finalised I T S 19 Description of the functioning of MTFs and OTFsMiFID Ii 3rd subpara of Article 18(11)24/05/2016C(2016) 3019N/AITS 19 in the Official JournalR T S 20 Criteria to establish w hen an activity is considered to be ancillary to the main businessMiFID II Article 2(4)1/12/2016 C(2016)