Ref. Ares(2018)3354022 - 25/06/2018
LIST OF DOCUMENTS CONCERNED BY THE REQUEST GESTDEM 2018/2075 - SENT BY COM [2012-2014]
Date
Registration
Release
Reasoning
Doc nbr Subject
Sender
Recipient
Comments
document
nbr
(yes/no/partial)
(no/partial)
Domu Maklerskiego
Linked to
1
on-going review of MIFID
20-03-14 ARES(2014)847277
Pearson
Consus S.A.
partial
4.1.b
Ares(2013)2944532
International
review of the Directive on Markets
Association of Oil and
linked to
2
in Financial Instruments (MiFID/R)
24-01-14 Ares(2014)154127
Faull
Gas Producers
partial
4.1.b
Ares(2014)55961
linked to
3
Triologue process for Mifir
09-12-13 Ares(2013)3686057
Fabregas
Risk
partial
4.1.b
Ares(2013)3542096
reply to
4
common principles on MIFID II
14-11-13 Ares(2013)3481193
Cabinet Barnier
many signatories
partial
4.1.b
Ares(2013)3122995
ASSOCIAZIONE DI
CATEGORIA BROKERS DI
ASSICURAZIONI E
5
Review of Mifid II
22-10-13 Ares(2013)3307133
Pearson
RIASSICURAZIONI (ACB)
partial
4.1.b
MiFID - the VKU position for the
reply to
6
upcoming negotiations
30-09-13 Ares(2013)3139234
Guersent
VKU Büro Brüssel
partial
4.1.b
Ares(2013)2931082
Joint letter on upcoming MiFID
reply to
7
trilogues & Commodity Speculation
29-07-13 Ares(2013)2767062
Guersent
Oxfam International
partial
4.1.b
Ares(2013)2567401
Commodity derivatives in the MiFïD
Linked to
8
review
23-05-13 Ares(2013)1276718
Paulis
AM AFI
partial
4.1.b
res(2013)979934
access to pre and post trade data for
9
retail investors
23-05-13 Ares(2013)1261666
Calviño
TD Direct Investing
partial
4.1.b
Economic importance of the
linked to
10
corporate bonds markets
21-05-13 Ares(2013)1237415
Faull
ICMA
partial
4.1.b
Ares(2013)701651
Linked to
11
EU legislation such as MiFID
22-04-13 Ares(2013)738039
Pearson
Hume Brophy
partial
4.1.b
Ares(2013)729700
Federation of European
Securities Exchanges
(FESE), Bundesverband
der Wertpapierfirmen
e.V. (BWF), Nordic
linked to
12
23-02-13 Ares(2013)237723
Paulis
Securities Association
partial
4.1.b
Ares(2013)211932
Page 1
Date
Registration
Release
Reasoning
Doc nbr Subject
Sender
Recipient
Comments
document
nbr
(yes/no/partial)
(no/partial)
Regulatory Studies
MiFID review - high-frequency
Center George
Linked to
13
trading
24-01-13 Ares(2013)91111
Faull
Washington University
partial
4.1.b
Ares(2012)1443105
SOMO (Center for
review of the Markets in Financial
Research on
Instruments Directive (so called
Multinational
linked to
14
"MiFID II")
15-01-13 Ares(2013)42946
Fabregas
Corporations)
partial
4.1.b
Ares(2012)1518798
Page 2
LIST OF DOCUMENTS CONCERNED BY THE REQUEST GESTDEM 2018/2075 - RECEIVED [2012-2014]
Doc
Date
Registration
Release
Reasoning
Subject
Sender
Recipient
Comments
nbr
document
nbr
(yes/no/partial)
(no/partial)
Financial Markets Law
1
Issue 124 (FX and MiFID)
16-05-14
Ares(2014)1711173
Committee
Faull, Fabregas
partial
4.1.b
MiFID II, Section C6 – Latest
Council Proposals should be
rejected. Recreating Physical
Forward Oil and Gas Contracts as
International
financial instruments will be very
Association of Oil and
2
expensive for consumers
13-01-14
Ares(2014)55961
Gas Producers (OGP)
Faull
partial
4.1.b
linked to
3
Triologue process for Mifir
21-11-13
Ares(2013)3542096 Risk
Cabinet Barnier
partial
4.1.b
Ares(2013)3686057
MiFID Π and MAR - points
concerning algorithmic and high
Ares(2013)3371422 + Financial Markets Law
4
frequency trading
24-10-13
Ares(2013)3329251 Committee
Faull
partial
4.1.b
EU FINANCIAL SERVICES BROAD
INDUSTRY REPRESENTATION :
COMMON PRINCIPLES ON MIFID-
5
2
25-09-13
Ares(2013)3122995
many signatories
Faull, Calviño
partial
4.1.b
ASSOCIAZIONE DI
CATEGORIA BROKERS
28-08-13
Ares(2013)2944532
Cabinet Tajani
DI ASSICURAZIONI E
RIASSICURAZIONI (ACB)
6
Trialogue discussions of MiFID II
partial
4.1.b
(reply by Pearson)
Verband kommunaler
26-08-13
Ares(2013)2931082
Unternehmen e.V.
Cabinet Barnier
MiFID - the VKU position for the
linked to
(VKU)
7
upcoming negociations
partial
4.1.b
Ares(2013)3139234
Trilogue on the Directive on
Markets in Financial Instruments
(MiFID II) -
Impact on insurers and insurance
Austrian Insurance
8
intermediaries
01-08-13
Ares(2013)2864107
Association (VVO)
Fabregas
partial
4.1.b
Trialogue on Markets in Financial
Instruments (MiFID/MiFIR) –
effective position limits to
prevent excessive speculation
linked to
9
with commodities
02-07-13
Ares(2013)2567401
Oxfam Intl
Cabinet Barnier
partial
4.1.b
Ares(2013)2767062
Doc
Date
Registration
Release
Reasoning
Subject
Sender
Recipient
Comments
nbr
document
nbr
(yes/no/partial)
(no/partial)
Association française
linked to
Commodity derivatives in the
des marchés financiers
Ares(2013)1276718
10 MiFID review
26-04-13
Ares(2013)979934
(AMAFI)
Cabinet Barnier
partial
4.1.b
(reply by Paulis)
linked to
Access to pre- and post-trade
Ares(2013)1261666
11 data for retail Investors
22-04-13
Ares(2013)870068
TD Direct Investing
Cabinet Barnier
partial
4.1.b
(reply by Calviño)
linked to
12 SLL proposal
17-04-13
Ares(2013)729700
Hume Brophy
Lueder Tilman
partial
4.1.b
Ares(2013)738039
13 corporate bond markets
04-04-13
Ares(2013)701651
ICMA
Faull
partial
4.1.b
Federation of
European Securities
Exchanges (FESE),
Bundesverband der
Organised Trading Facilities
Wertpapierfirmen e.V.
(OTFs) and potential problems for
(BWF), Nordic
14 European equity markets
18-02-13
Ares(2013)211932
Securities Association
Paulis
yes
Stichting Onderzoek
Revision of MiFID : challenges for
Multinationale
regulators in the commodities
Ondernemingen
linked to
15 derivatives markets
13-12-12
Ares(2012)1518798
(SOMO)
Calviño
partial
4.1.b
Ares(2013)42946
inefficiencies associated with High-
Regulatory Studies
Frequency Trading in financial
Center George
16 markets
04-12-12
Ares(2012)1443105
Washington University Faull
partial
4.1.b
review of the Markets in Financial
European Banking
17 Instruments Directive (MiFID)
10-01-12
Ares(2012)26866
Federation (EBF)
Bassi, Fabregas
partial
4.1.b
LIST OF DOCUMENTS CONCERNED BY THE REQUEST GESTDEM 2018/2075 - List of meetings [2012-2014]
Date
Registration
Release
Reasoning
Doc nbr Subject
Meeting with
Comments
document
nbr
(yes/no/partial)
(no/partial)
1
MiFID
27-05-14
BATS CHI-X
partial
4.1.b
2
MiFID
21-05-14
BP
partial
4.1.b
3
MiFID
15-05-14 Ares(2014)1582737
Société Générale
partial
4.1.b
4
MiFID
06-05-14
CFA Institute
partial
4.1.b
5
MiFID
14-04-14
Quantlab and Hudson River trading
partial
4.1.b
6
SEFs and equivalence
28-02-14
Bloomberg
partial
4.1.b
7
miFID: electricity markets
17-12-13 Ares(2014)1646990
Steptoe
8
MiFID
02-12-13
CME
partial
4.1.b
9
MiFID
17-10-13
BATS CHI-X
partial
4.1.b
10
MiFID
16-09-13
NASDAQ OMX
partial
4.1.b
11
MiFID
14-09-13
ACER
partial
4.1.b
12
MiFID
03-09-13
Nordic Securities Association
partial
4.1.b
13
MiFID
13-08-13
ICE
partial
4.1.b
World Development Movement and
14
MiFID
22-07-13
Oxfam International
partial
4.1.b
15
MiFID
16-07-13
ICI
partial
4.1.b
16
MiFID
10-07-13
Forwards and Options Association
partial
4.1.b
17
MiFID
07-07-13
Barclays
partial
4.1.b
18
MiFID
28-06-13
LSE and Freshfields
partial
4.1.b
19
MiFID
28-05-13
ISDA
partial
4.1.b
20
MiFID
22-05-13
Thomson Reuters
partial
4.1.b
21
MiFID
23-04-13
APCIMS
partial
4.1.b
22
MiFID
18-04-13
Barclays
partial
4.1.b
23
MiFID
09-04-13
Managed Fund Assocation
partial
4.1.b
24
MiFID
26-03-13
ICMA
partial
4.1.b
25
MiFID
27-02-13
Deutsche Börse
partial
4.1.b
26
MiFID
30-01-13
Wirtschaftskammer Österreich
partial
4.1.b
27
MiFID
17-01-13
AFME
partial
4.1.b
28
MiFID
06-11-12
ICE
partial
4.1.b