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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|25/07/2016||2016/1167||Press release- ESMA issues warning on sale of speculative products to retail investors||MiFID - Investor Protection||Press Release||PDF
|18/05/2011||2011/146||Press release- ESMA issues Guidelines on endorsement and clarifies the use for regula-tory purposes of credit ratings issued outside the European Union after 6 June 2011||Credit Rating Agencies, Press Releases||Press Release||PDF
|19/09/2011||2011/306||Press release- ESMA issues first drafts of binding standards for credit rating agencies||Credit Rating Agencies, Press Releases||Press Release||PDF
|21/07/2016||2016/1157||Press release- ESMA fines Fitch Ratings Limited €1.38 million||Credit Rating Agencies, Press Releases||Press Release||PDF
|29/06/2015||2015/1050||Press Release- ESMA fines DBRS Ratings Ltd. for internal control failings||Credit Rating Agencies, Press Releases||Press Release||PDF
|21/12/2011||2011/460||Press Release- ESMA extends transitional period for use of non-EU credit ratings, Australian CRA regime endorsed||Credit Rating Agencies, Press Releases||Press Release||PDF
|20/07/2011||2011/223||Press release- ESMA consults on systems and controls for highly automated trading||Press Releases, MiFID - Secondary Markets||Press Release||PDF
|19/12/2018||ESMA71-99-1085||Press release- ESMA consults on measures to promote sustainability in EU capital markets||Credit Rating Agencies, Fund Management, MiFID - Investor Protection||Press Release||PDF
|06/06/2011||2011/170||Press release- ESMA and the Japanese FSA exchanged letters establishing the cooperation framework between the EU and Japan for credit rating agencies||Credit Rating Agencies, Press Releases||Press Release||PDF
|27/03/2018||ESMA71-98-128||Press release- ESMA agrees to prohibit binary options and restrict CFDs to protect retail investors||MiFID - Investor Protection, Press Releases||Press Release||PDF
|12/02/2018||ESMA71-99-946||Press release- ESAs warn consumers of risks in buying virtual currencies||MiFID - Investor Protection||Press Release||PDF
|31/10/2011||2011/360||Press release- DBRS, Fitch, Moody's, and S&P receive EU registration||Credit Rating Agencies, Press Releases||Press Release||PDF
|20/03/2017||ESMA71-99-371||Press release TRV No. 1, 2017||Press Releases, Risk Analysis & Economics - Markets Infrastructure Investors||Press Release||PDF
|02/05/2018||ESMA71-99-971||Press release on MiFID II bond transparency calculations||MiFID - Secondary Markets||Press Release||PDF
|06/12/2017||ESMA50-164-1173||Press Release MiFID/MAR Transitional Transparency Calculations||Market Abuse, Market Integrity, MiFID - Secondary Markets, MiFID II: Transparency Calculations and DVC, Press Releases||Press Release||PDF
|02/05/2016||2016/566||Press release MiFID II RTS||Press Releases, MiFID - Secondary Markets||Press Release||PDF
|18/07/2019||ESMA71-99-1199||Press Release for CRA sustainability||Credit Rating Agencies, Sustainable finance||Press Release||PDF
|02/02/2017||ESMA71-844457584-339||Press Release ESMA Supervision 2016 annual report and 2017 work programme||Credit Rating Agencies, Trade Repositories||Press Release||PDF
|22/12/2015||2015/1872||Press Release Cross Selling Guidelines||MiFID - Investor Protection||Press Release||PDF
The European Securities and Markets Authority (ESMA) has published its Guidelines on Cross-Selling Practices under MiFID II (guidelines) to ensure investors are treated fairly when an investment firm offers two or more financial products or services as part of a package.
The guidelines include principles on:
The European Supervisory Authorities (ESAs) – EBA, EIOPA and ESMA - initially intended to issue joint guidelines covering all cross-selling practices taking place in the banking, insurance and securities sectors given that cross-selling is often cross-sectoral, and had consulted the stakeholders previously on this basis.
However, in light of legal concerns, the ESAs decided not to issue joint guidelines on cross-selling practices but agreed that ESMA should issue ESMA-only guidelines under MiFID II in order to meet its 3 January 2016 deadline.
While ESMA’s guidelines take into account the results of the ESAs’ joint consultation, the final report focuses on the feedback regarding cross-selling practices under MIFID II. Further, the guidelines are addressed to national regulators supervising the firms which provide MiFID services, when they engage in cross-selling practices.
The ESAs intend to inform the European Commission about the issues encountered and raise the possibility of legislative change to provide a foundation for future joint guidelines.
The guidelines will apply from 3 January 2017.
|13/05/2020||ESMA71-99-1327||Press Release CLO Thematic Report||COVID-19, Credit Rating Agencies, Press Releases||Press Release||PDF