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Securities and Markets Stakeholder Group
SMSG advice on ESMA’s CP on the MiFID II compliance function
ESMA22106-2002
06 November 2019
Reference ESMA22106-2002 Section Securities and Markets Stakeholder Group Type SMSG Advice Main document smsg_advice_on_compliance_requirements.pdf Style ESMA document ...
Innovation and Products
ESMA publishes report on the licencing of FinTech firms across Europe
12 July 2019
wide holistic crowdfunding regime, particularly for crowdfunding based on non-MiFID II instruments. ...
Securities and Markets Stakeholder Group
SMSG advice on integrating sustainability risks and factors in MIFID, the UCITS Directive and AIFMD
ESMA22-106-1683
26 March 2019
Reference ESMA22-106-1683 Section Securities and Markets Stakeholder Group Type Report Main document smsg_sustainability_advice_paper.pdf Style ESMA document ...
Innovation and Products
Planning reporting budget
Risk Analysis & Economics - Markets Infrastructure Investors
ESMA publishes its 2019 Risk Assessment Work Programme
07 February 2019
AIFs and structured retail products); and o the first annual statistical report on MiFID II data. ... under its AIFMD, MiFID and EMIR mandates and others becomes available, ESMA is – in cooperation with ...
Innovation and Products
Crypto-assets need common EU-wide approach to ensure investor protection
09 January 2019
instruments under MiFID, there are areas that require potential interpretation or re-consideration of specific ... crypto-assets may qualify as MiFID financial instruments, in which case the full set of EU financial rules would ...
Innovation and Products
Joint Committee
ESAs publish joint report on regulatory sandboxes and innovation hubs
07 January 2019
facilitators; (ii) promote transparency of regulatory and supervisory policy outcomes from arising from ...
Securities and Markets Stakeholder Group
SMSG Advice on Guidelines on certain aspects of the MiFID II suitability requirements
ESMA22-106-474
17 November 2017
document esma22-106-474_smsg_advice_esma_mifid_ii_suitability_guidelines.pdf Style ESMA document ...
Innovation and Products
Press Releases
Warnings and publications for investors
ESMA highlights ICO risks for investors and firms
13 November 2017
the Prospectus Directive, · the Markets in Financial Instruments Directive (MiFID), · ...
Board of Supervisors
Corporate Disclosure
Corporate Finance
Innovation and Products
Market Integrity
MiFID - Secondary Markets
Post Trading
ESMA appoints new standing committee chairs
29 September 2017
Integrity MiFID- Secondary Markets Post Trading ESMA has appointed new chairs for its Corporate Finance, ...
Board of Supervisors
Corporate Disclosure
Corporate Finance
Corporate Information
Innovation and Products
Market Integrity
MiFID - Secondary Markets
Post Trading
ESMA appoints new chairs to Standing Committees
ESMA71-99-602
29 September 2017
Corporate Information Innovation and Products Market Integrity MiFID- Secondary Markets Post Trading Type ...
Innovation and Products
MiFID - Investor Protection
Product Intervention - General Statement
ESMA35-36-885
28 June 2017
being discussed for (i) CFDs and rolling spot forex and (ii) binary options include proposals that take ... speculative products to retail investors under MiFID published 31 March 2017 | [2] ESMA/2016/1166 Warning ... MiFID- Investor Protection Type Statement Main document ...
Securities and Markets Stakeholder Group
SMSG Advice - Response to ESMA’s Consultation Paper on MiFID II product governance
2016/SMSG/024
17 January 2017
document 2016-smsg-024_smsg_advice_on_mifid_ii_product_governance.pdf Style ESMA document ...
Innovation and Products
ESMA calls for consistent application of MiFIR product intervention powers
12 January 2017
3 January 2018. Currently, the powers will only apply to MiFID investment firms marketing products which ... would create a level-playing field between MiFID firms and fund management companies, ensuring we ... with certain specified features. ESMA and NCAs will also have the powers to prohibit MIFID financial ...
Securities and Markets Stakeholder Group
SMSG Advice on Assessment of Knowledge and Competence in the Context of MiFID II
2015/SMSG/20
24 July 2015
Reference 2015/SMSG/20 Section Securities and Markets Stakeholder Group Type SMSG Advice Main document 2015-smsg-020-advice_on_knowledge_and_competence_requirements.pdf Style ESMA document ...
Securities and Markets Stakeholder Group
SMSG Contribution to the Green Paper on CMU - PART II
2015/SMSG/017 PART II
19 May 2015
Reference 2015/SMSG/017 PART II Section Securities and Markets Stakeholder Group Type SMSG Advice ... 2015-smsg-017-esma_smsg_-_part_ii_contribution_to_the_green_paper_on_cmu_quick_wins_comments.pdf Style ESMA document ...
Securities and Markets Stakeholder Group
SMSG Response to ESMA’s Consultation Paper on Draft Regulatory Technical Standards on prospectus related issues under the Omnibus II Directive
2015/SMSG/003
22 January 2015
Reference 2015/SMSG/003 Section Securities and Markets Stakeholder Group Type SMSG Advice Main document 2015-smsg-003_smsg_advice_prospectus.pdf Style ESMA document ...
Innovation and Products
Press Releases
Press Release - Investment-based crowdfunding needs EU-wide common approach
2014/1568
18 December 2014
Instruments Directive (MiFID), the Prospectus Directive, the Directive for Alternative Investment Fund ... include: the impact of the Prospects Directive thresholds; capital requirements and the use of the MiFID ... those platforms that currently operate outside of the scope of MiFID The Opinion and Advice have been ...
Prospectus
26 September 2014
issues under the Omnibus II Directive ...
Prospectus
Corporate Disclosure
Consultation paper on draft RTS on prospectus related issues under the Omnibus II Directive
2014/1186
26 September 2014
2014-1186_consultation_paper_on_omnibus_ii_rts.pdf Style ESMA document ...
Securities and Markets Stakeholder Group
SMSG advice - Investor Protection Aspects of the Consultation Paper on MiFID II and MiFIR
2014/SMSG/35
03 September 2014
Reference 2014/SMSG/35 Section Securities and Markets Stakeholder Group Type SMSG Advice Main document 2014-smsg-035.pdf Style ESMA document ...