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MiFID - Secondary Markets
Supervisory convergence
Opinion to support supervisory convergence in the area of secondary markets in the context of the United Kingdom withdrawing from the European Union
ESMA70-154-270
13 July 2017
Reference ESMA70-154-270 Section Brexit MiFID- Secondary Markets Supervisory convergence Type ...
Brexit
MiFID - Investor Protection
Supervisory convergence
Opinion to support supervisory convergence in the area of investment firms in the context of the United Kingdom withdrawing from the European Union
ESMA35-43-762
13 July 2017
Reference ESMA35-43-762 Section Brexit MiFID- Investor Protection Supervisory convergence Type ...
Fund Management
Consultation Paper on draft regulatory technical standards under the ELTIF Regulation
2015/1239
31 July 2015
document will be of interest to (i) ELTIF managers and their trade associations, (ii) alternative ...
Fund Management
ESMA's opinion to the European Parliament, Council and Commission and responses to the call for evidence on the functioning of the AIFMD EU passport and of the National Private Placement Regimes
2015/1235
30 July 2015
constitutes a “professional investor”; ii) varying interpretations of what activities constitute “marketing” ...
Fund Management
Guidelines on sound remuneration policies under the UCITS Directive and AIFMD
2015/1172
23 July 2015
remuneration are marked up against the AIFMD provisions. Annex II sets out the list of questions contained in ...
Fund Management
Guidelines on asset segregation under the AIFMD
2014/1326
01 December 2014
associations, (ii) alternative investment funds managers and their trade associations, as well as (iii) ...
MiFID - Investor Protection
Innovation and Products
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 ...
Fund Management
Draft Guidelines on sound remuneration policies under the AIFMD
2012/406
28 June 2012
Annex II of the AIFMD establishes a set of rules (largely inspired from the provisions ... to develop guidelines on sound remuneration policies which comply with Annex II of the AIFMD. This ...