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ESMA Newsletter - Nº8

07 October 2019
the Market in Financial Instruments Directive and Regulation (MiFID II/ MiFIR). 03 October  ESMA consults on ... updates MiFID II Q&As on transparency and market structures issues The European Securities and Markets ... structures issues under the Market in Financial Instruments Directive (MiFID II) and Regulation (MiFIR). 02 ...

ESMA Newsletter - Nº7

04 September 2019
least as stringent as ESMA’s measures. 07 August MIFID II: ESMA ISSUES LATEST DOUBLE VOLUME CAP DATA ... of double volume cap (DVC) data under the Markets in Financial Instruments Directive (MiFID II). 06 August ... August MiFID II: ESMA makes new bond liquidity data available The European Securities and Markets ...

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. ...

ESMA Newsletter - Nº5

07 June 2019
decision in respect of the UK by the European Commission (EC). 29 May ESMA UPDATES Q&AS ON MIFID II AND ... (MiFID II/ MiFIR). The updated Q&As provides new answers on best execution and information on costs ... must perform under MiFID II, together with the European Commission (EC), and is seeking stakeholders’ ...

ESMA Newsletter - Nº4

06 May 2019
30 April 2019   30 April ESMA AGREES POSITION LIMITS UNDER MIFID II ESMA has published five opinions on position ... Regulation (MiFID II/MIFIR).  30 April  NOTICE OF ESMA’S PRODUCT INTERVENTION RENEWAL DECISION IN RELATION ... (MiFIR). 4 April ESMA PUBLISHES MIFID II SUPERVISORY BRIEFING ON APPROPRIATENESS AND EXECUTION-ONLY ...

ESMA Newsletter - Nº3

04 April 2019
Directive and Regulation (MiFID II/ MiFIR). 28 March ESMA PUBLISHES OFFICIAL TRANSLATIONS OF GUIDELINES ON ... timing. 28 March ESMA UPDATES ITS Q&AS ON MIFID II AND MIFIR INVESTOR PROTECTION AND INTERMEDIARIES ... topics under the Market in Financial Instruments Directive and Regulation (MiFID II/ MiFIR). 27 March ...

ESMA Newsletter - Nº2

04 March 2019
integrating sustainability risks and factors in MiFID II, and in the UCITS Directive/AIFMD. 19  February ESMA ... OF EU FIRMS ESMA has published a MiFID II supervisory briefing on the supervision of non-European Union ... published a statement on the use of UK data in ESMA databases and the performance of MiFID II calculations ...

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 ...

ESMA Newsletter - Nº1

01 February 2019
updated Q&As on MiFID II and MiFIR transparency topics) for the systematic internaliser (SI) regime ... POSITION LIMITS UNDER MIFID II ESMA has  published six opinions on position limits regarding commodity ... derivatives under the Markets in Financial Instruments Directive and Regulation (MiFID II/MIFIR) 22 January ...

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 ...

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 ...

ESMA highlights ICO risks for investors and firms

13 November 2017
the Prospectus Directive, ·         the Markets in Financial Instruments Directive (MiFID), ·         ...

ESMA appoints new standing committee chairs

29 September 2017
Integrity MiFID- Secondary Markets Post Trading ESMA has appointed new chairs for its Corporate Finance, ...

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 ...

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 ...

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 ...

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 ...

ESMA issues good practices for structured retail product governance

2014/334
27 March 2014
2014/334 Section MiFID- Investor Protection Innovation and Products Type Press Release Main document ...

Structured Retail Products - Good practices for product governance arrangements

2014/332
27 March 2014
Instruments Directive (MiFID)  and its implementing measures (notably, Directive 2006/73/EC), the regulatory ... developments arising from the MiFID review or existing product rules that may apply to SRPs.  4.    ESMA’s ... in particular, (i) the complexity of the SRPs they manufacture or distribute, (ii) the nature and ...