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Press release - ESMA consults on measures to promote sustainability in EU capital markets

ESMA71-99-1085
19 December 2018
Reference ESMA71-99-1085 Section Credit Rating Agencies Fund Management MiFID- Investor Protection ...

Peer Review on MiFID Compliance Function Press Release

ESMA71-99-661
29 November 2017
Reference ESMA71-99-661 Section MiFID- Investor Protection Press Releases Supervisory convergence ... Related documents Peer review on certain aspects of the compliance function under Mi-FID I ...

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 ...

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 ...

ESMA issues principles on supervisory approach to relocations from the UK

ESMA71-99-469
31 May 2017
referred to in the ESMA Regulation, in particular the AIFMD, the UCITS Directive, MiFID I and MiFID II ...

ESMA publishes 2017 Supervisory Convergence Work Programme

ESMA71-844457584-345
09 February 2017
of MiFID II/MiFIR and MAR including the underlying IT projects; improving the quality to data collected by ...

ESMA finds room for improvement in national supervision of investment advice to retail clients

2016/582
07 April 2016
Reference 2016/582 Section MiFID- Investor Protection Press Releases Supervisory convergence Type ...

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” ...

ESMA publishes review on best execution supervisory practices under MiFID

2015/495
25 February 2015
regulators (national competent authorities or NCAs) supervise and enforce the MiFID provisions relating ... Luxembourg, Malta, Poland and Spain. Reference 2015/495 Section MiFID- Investor Protection Press Releases ...

ESMA reviews supervisory practices on MiFID investor information

2014/1478
11 December 2014
regulators (national competent authorities or NCAs) supervise MiFID conduct of business rules on providing ... communications under MiFID. The Report found that there was overall a high degree of compliance amongst NCAs with ... 2014-1478_esma_reviews_supervisory_practices_on_mifid_investor_information.pdf Style ESMA document ...

Technical advice to the European Commission on the information that competent authorities should provide to ESMA pursuant to Article 67(3) of the AIFMD

2014/312
27 March 2014
Contents Section II describes the background of the proposal. Section III specifies the timing for ...