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SMSG advice on ESMA’s CP on the MiFID II compliance function
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 ...
12 July 2019
wide holistic crowdfunding regime, particularly for crowdfunding based on non-MiFID II instruments. ...
SMSG advice on integrating sustainability risks and factors in MIFID, the UCITS Directive and AIFMD
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 ...
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 ...
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 ...
07 January 2019
facilitators; (ii) promote transparency of regulatory and supervisory policy outcomes from arising from ...
SMSG Advice on Guidelines on certain aspects of the MiFID II suitability requirements
17 November 2017
document esma22-106-474_smsg_advice_esma_mifid_ii_suitability_guidelines.pdf Style ESMA document ...
13 November 2017
the Prospectus Directive, · the Markets in Financial Instruments Directive (MiFID), · ...
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
29 September 2017
Corporate Information Innovation and Products Market Integrity MiFID- Secondary Markets Post Trading Type ...
Product Intervention - General Statement
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 |  ESMA/2016/1166 Warning ... MiFID- Investor Protection Type Statement Main document ...
This statement provides an update on the European Securities and Markets Authority’s (ESMA) work in relation to the sale of contracts for differences (CFDs), binary options and other speculative products to retail investors. ESMA has been concerned about the provision of speculative products such...
SMSG Advice - Response to ESMA’s Consultation Paper on MiFID II product governance
17 January 2017
document 2016-smsg-024_smsg_advice_on_mifid_ii_product_governance.pdf Style ESMA document ...
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 ...
SMSG Advice on Assessment of Knowledge and Competence in the Context of MiFID II
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 ...
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 ...
SMSG Response to ESMA’s Consultation Paper on Draft Regulatory Technical Standards on prospectus related issues under the Omnibus II Directive
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 ...
Press Release - Investment-based crowdfunding needs EU-wide common approach
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 ...
The European Securities and Markets Authority (ESMA) has published an Opinion along with an Advice on Investment-based crowdfunding. The Opinion clarifies the EU rules applicable to crowdfunding, while the Advice highlights issues for consideration by the EU institutions to achieve greater...
SMSG advice - Investor Protection Aspects of the Consultation Paper on MiFID II and MiFIR
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 ...
SMSG advice - Trading Venues Aspects of the Consultation Paper on MiFID II and MiFIR
03 September 2014
Reference 2014/SMSG/36 Section Securities and Markets Stakeholder Group Type SMSG Advice Main document 2014-smsg-036.pdf Style ESMA document ...
SMSG advice - Transparency and trading obligations (equities) aspects of the Consultation Paper and Discussion Paper on MiFID II/MiFIR
03 September 2014
Reference 2014/SMSG/37 Section Securities and Markets Stakeholder Group Type SMSG Advice Main document 2014-smsg-037.pdf Style ESMA document ...