SEARCH

REFINE YOUR SEARCH

Sections

Type of document

Your filters
Short Selling X Risk Analysis & Economics - Markets Infrastructure Investors X MiFID - Investor Protection X
Reset all filters

ESMA updates Q&AS on MiFID II and MiFIR investor protection and intermediaries

04 December 2019
Financial Instruments Directive and Regulation (MiFID II/ MiFIR). The update includes Q&As on costs and ... charges and product intervention The overall Q&As provide clarifications on the following topics: Best ... governance Product intervention The Q&As on MiFID II and MiFIR investor protection and intermediaries ...

Q&As on MiFID II and MiFIR investor protection topics

ESMA35-43-349
04 December 2019
Reference ESMA35-43-349 Section MiFID- Investor Protection Supervisory convergence Type Q&A Main document esma35-43-349_mifid_ii_qas_on_investor_protection_topics.pdf Style ESMA document ...

ESMA publishes updates its Q&As on investor protection issues

03 October 2019
under the Market in Financial Instruments Directive and Regulation (MiFID II/ MiFIR). The Q&As on ... relationship” The purpose of the MiFID II/MiFIR investor protection Q&As is to promote common supervisory ...

ESMA warns CFDs providers on application of product intervention measures

12 July 2019
decisions, taking into consideration clarifications provided in relevant Q&As and the content of this ...

ESMA updates Q&AS on MiFID II and MiFIR investor protection and intermediaries

11 July 2019
under the Market in Financial Instruments Directive and Regulation (MiFID II/ MiFIR). The Q&As on ... market sizes The purpose of these Q&As is to promote common supervisory approaches and practices in ...

ESMA updates Q&AS on MiFID II and MiFIR investor protection and intermediaries

29 May 2019
Q&As provides new answers on best execution and information on costs and charges. Best execution ... information.  The purpose of these Q&As is to promote common supervisory approaches and practices in ...

Steven Maijoor delivers key note speech at Better Finance 10th Anniversary Conference

03 April 2019
take an extra hit in case of overall lower gross returns. and “The new ESMA Q&As adopt a broad ...

ESMA updates its Q&AS on MiFID II and MiFIR investor protection and intermediaries

28 March 2019
under the Market in Financial Instruments Directive and Regulation (MiFID II/ MiFIR). The Q&As ... providers ESMA has also updated two Q&As on:   Suitability report: availability on firm’s website ... Q&As is to promote common supervisory approaches and practices in the application of MiFID II and ...

ESMA updates its Q&AS on MiFID II and MiFIR investor protection and intermediaries

28 March 2019
The Q&As provide new answers on: Provision of investment services and activities by third-country firms- ... other liquidity providers ESMA has also updated two Q&As on:   Suitability report: availability on ... The purpose of these Q&As is to promote common supervisory approaches and practices in the application ...

Technical Q&As on product intervention measures on CFDs and binary options

ESMA35-36-1262
09 November 2018
Reference ESMA35-36-1262 Section MiFID- Investor Protection Type Q&A Main document esma35-36-1262_technical_qas_product_intervention.pdf Style ESMA document ...

ESMA updates Questions and Answers on ESMA’s temporary product intervention measures

09 November 2018
MiFID- Investor Protection The European Securities and Markets Authority (ESMA) has today updated its Questions and Answers on ESMA’s temporary product intervention measures on the marketing, distribution or sale of CFDs and binary options to retail clien ...

Net short position notification thresholds for sovereign issuers

Net short thresholds
31 October 2018
According to Article 7(2) of the Short Selling Regulation, ESMA has to publish a list of the thresholds applicable to the sovereign issuers for the purpose of the notification to competent authorities of significant net short position in sovereign debt. T ...

ESMA updates Q&As on MiFID II and MiFIR investor protection and intermediaries

03 October 2018
Financial Instruments Directive and Regulation (MiFID II/ MiFIR). The Q&As on MiFID II and MiFIR ... of a ‘look-through’ approach.  The overall Q&As provide clarifications on the following topics: Best execution; ...

ESMA updates the Q&As on ESMA’s temporary product intervention measures

28 September 2018
600/2014 Markets in Financial Instruments Regulation (MiFIR). The updated Q&As provide clarification on ...

ESMA updates the Questions and Answers on ESMA’s temporary product intervention measures

30 July 2018
MiFID- Investor Protection The European Securities and Markets Authority (ESMA) has today updated its Questions and Answers on ESMA’s temporary product intervention measures on the marketing, distribution or sale of CFDs and binary options to retail clien ...

ESMA updates Q&As on MiFID II and MiFIR investor protection and intermediaries

12 July 2018
the Market in Financial Instruments Directive and Regulation (MiFID II/ MiFIR). The new Q&As are on ...

ESMA updates Q&As on temporary product intervention measures

12 July 2018
MiFID- Investor Protection The European Securities and Markets Authority (ESMA) has today updated its Questions and Answers on ESMA’s temporary product intervention measures on the marketing, distribution or sale of CFDs and binary options to retail clien ...

ESMA publishes Q&As in relation the temporary product intervention measures

01 June 2018
600/2014 (the Markets in Financial Instruments Regulation, MiFIR) The overall Q&As on ESMA’s temporary ...

Question and Answers (Q&A) on the Regulation on short selling and certain aspects of credit default swaps (SSR)

ESMA70-145-408
29 May 2018
Reference ESMA70-145-408 Section Short Selling Type Q&A Main document esma70-145-408_qa_on_ssr.pdf Style ESMA document ...

ESMA publishes update to MiFID II Q&As on investor protection and intermediaries topics

25 May 2018
updated Q&As to its Questions and Answers (Q&A) on MiFID II/MiFIR investor protection topics. ... The new or updated Q&As cover the topics of best execution, client categorisation, provision ...