Investor Protection & Intermediaries SC

 

CHAIR : Jean-Paul Servais, Chair of the Belgian FSMA

RAPPORTEUR : Salvatore Gnoni

 

The Investor Protection and Intermediaries Standing Committee undertakes ESMA’s work on issues relating to the provision of investment services and activities by investment firms and credit institutions. Particular regard is made to investor protection, including the conduct of business rules, distribution of investment products, investment advice and suitability.

In terms of policy, the  Standing Committee is responsible  for developing and providing technical advice to the European Commission, and for preparing technical standards, guidelines and recommendations relating to the provisions of the Markets in Financial Instruments Directive (MiFID) applicable to investment services and activities. This includes, for example, the authorisation of investment firms, conduct of business, organisational arrangements and pass-porting.

The Standing Committee also fosters supervisory convergence among national competent authorities in the area of investment services and activities.

A Consultative Working Group has been formed to assist the Standing Committee. The list of members is set out on the right.

Any correspondence regarding the work of this Standing Committee should be sent to the relevant ESMA staff member.

 

Click here to download IPISC Terms of Reference

Members of the IPISC consultative group

Alain Moreau

Global Head of Investment Products and Insurances
Deutsche Bank

Aleksander Smidowicz

Legal advisor – Coordinator on brokerage matters
Bank Zachodni WBK S.A.

Dorothea Mohn

Head of Union Finance
Federation of German Consumer Protection Organisation

Etienne Valence

Global Head of Market Integrity, BNPP GROUP COMPLIANCE
BNP Paribas

Eva Micheler Associate Professor (Reader)
London School of Economics and Political Science

Ao Universitaetprofessor,
Wirtschaftsuniversitaet Wien
Henning Bergmann

Head of Capital Markets,
German Savings Banks Association

Jean-François Biernaux

Legal Adviser
Consumer Association Test-Achats

Josep Soler-Alberti

Chairman
European Financial Planning Association, EFPA
Chief Executive Officer
Institut d’Estudis Financers, IEF

Josina Kamerling

Head of Regulatory Outreach EMEA
CFA Institute

Juan Manuel Viver

Policy Officer
Better Finance

Markus Lange

Partner, Head of Financial Services Legal
KPMG

Martin Parkes

Director Public Policy
BlackRock

Michael Haliassos

Professor and Chair of Macroeconomics and Finance, Goethe University Frankfurt

Miloslav Klášterecký

Product Manager - Retail Investment Products
Česká spořitelna, a.s. (Erste group)

Niels Lemmers

Legal and Public Affairs Director
Dutch Investors’ Association (VEB)

Ricardo Queralt

Professor
Colegio Universitario de Estudios Financieros (CUNEF)

Sheila Nicoll

Head of Public Policy
Schroders

Vincenzo Troiano

Full Professor
University of Perugia
Partner
Chiomenti Studio Legale