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ESMA32-384-5357 |
Annex - Response to EC targeted consultation on the Listing Act |
Market Abuse, Investor protection, Prospectus |
Reference |
DOWNLOAD 836.77 KB |
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ESMA35-43-3172 |
Guidelines on certain aspects of the MiFID II suitability requirements |
Guidelines and Technical standards, Investor protection |
Guidelines & Recommendations |
DOWNLOAD 303.51 KB |
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| Related documents |
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| Summary |
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| Translated versions |
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ESMA35-43-3861 |
Supervisory briefing on understanding the definition of advice under MiFID II |
Investor protection |
Report |
DOWNLOAD 844.02 KB |
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ESMA24-442-152 |
Verena Ross' speech at Latvian Capital Market Forum 2023, 8 February 2023 |
Investor protection, Speeches, Supervisory convergence, Sustainable finance |
Speech |
DOWNLOAD 134.02 KB |
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JC/2015/079 |
2015 list of identified Financial Conglomerates |
Joint Committee, Investor protection |
Reference |
DOWNLOAD 146.29 KB |
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ESMA22-106-484 |
2018 SMSG application form |
Board of Supervisors, Securities and Markets Stakeholder Group |
Reference |
DOWNLOAD 39.24 KB |
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ESMA35-335435667-4321 |
2022 Report on MiFID II sanctions |
Investor protection |
Final Report |
DOWNLOAD 428.45 KB |
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ESMA32-63-951 |
Accounting implications of the COVID-19 outbreak on the calculation of expected credit losses in accordance with IFRS 9 |
Issuer disclosure, COVID-19 |
Statement |
DOWNLOAD 135.91 KB |
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ESMA34-45-896 |
Actions to mitigate the impact of COVID-19 on the deadlines for the publication of periodic reports by fund managers |
COVID-19, Fund Management |
Statement |
DOWNLOAD 113.03 KB |
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ESMA80-187-546 |
Actions to mitigate the impact of COVID-19 on the EU financial markets regarding the timeliness of fulfilling external audit requirements for interest rate benchmarks under the Benchmarks Regulation |
Benchmarks, COVID-19 |
Statement |
DOWNLOAD 89.31 KB |
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ESMA35-43-1000 |
Additional information on the agreed product intervention measures relating to contracts for differences and binary options |
Investor protection |
Reference |
DOWNLOAD 202.01 KB |
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ESMA22-106-196 |
Advice in response to JC Discussion Paper on the Use of Big Data by Financial Institutions |
Securities and Markets Stakeholder Group |
SMSG Advice |
DOWNLOAD 144.22 KB |
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2013/SMSG/017 |
Advice on Consultation Paper – Draft Regulatory Technical Standards on contracts having a direct, substantial and foreseeable effect within the Un-ion and non-evasion of provisions of EMIR |
Securities and Markets Stakeholder Group |
SMSG Advice |
DOWNLOAD 27.43 KB |
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2013/SMSG/018 |
Advice on Discussion Paper – The Clearing Obligation under EMIR |
Securities and Markets Stakeholder Group |
SMSG Advice |
DOWNLOAD 46.94 KB |
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2011/SMSG/13 |
Advice on ESMA's draft technical advice to the European Commission on possible implementing measures of the Alternative Investment Fund Man-agers Directive in relation to supervision and third countries |
Securities and Markets Stakeholder Group |
SMSG Advice |
DOWNLOAD 88.23 KB |
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2011/SMSG/18 |
Advice on ESMA's public consultation on UCITS Exchange traded funds in the European Union |
Securities and Markets Stakeholder Group |
SMSG Advice |
DOWNLOAD 149.17 KB |
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2012/SMSG/12 |
Advice on Guidelines on certain aspects of the MiFID compliance function requirements |
Securities and Markets Stakeholder Group |
SMSG Advice |
DOWNLOAD 83.35 KB |
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2012/SMSG/11 |
Advice on Guidelines on certain aspects of the MiFID suitability requirements |
Securities and Markets Stakeholder Group |
SMSG Advice |
DOWNLOAD 138.1 KB |
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2015/SMSG/026 |
Advice on Proxy advisors |
Securities and Markets Stakeholder Group |
SMSG Advice |
DOWNLOAD 206.54 KB |
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ESMA/2015/SMSG/031 |
Advice on sound remuneration under UCITS and AIFMD |
Securities and Markets Stakeholder Group |
SMSG Advice |
DOWNLOAD 123.3 KB |
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