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Press release - ESMA consults on measures to promote sustainability in EU capital markets
19 December 2018
Reference ESMA71-99-1085 Section Credit Rating Agencies Fund Management MiFID- Investor Protection ...
Peer Review on MiFID Compliance Function Press Release
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
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
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
31 May 2017
referred to in the ESMA Regulation, in particular the AIFMD, the UCITS Directive, MiFID I and MiFID II ...
The European Securities and Markets Authority (ESMA) has published an Opinion setting out general principles aimed at fostering consistency in authorisation, supervision and enforcement related to the relocation of entities, activities and functions from the United Kingdom. The opinion is addressed...
ESMA publishes 2017 Supervisory Convergence Work Programme
09 February 2017
of MiFID II/MiFIR and MAR including the underlying IT projects; improving the quality to data collected by ...
The European Securities and Markets Authority (ESMA) has published its 2017 Supervisory Convergence Work Programme (SCWP), which details the activities and tasks it will carry out to promote sound, efficient and consistent supervision across the European Union. ESMA and national competent...
ESMA finds room for improvement in national supervision of investment advice to retail clients
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
30 July 2015
constitutes a “professional investor”; ii) varying interpretations of what activities constitute “marketing” ...
AIFMD and the request to ESMA for an Opinion In accordance with Articles 36 and 42 of the AIFMD, non-EU AIFMs and non-EU AIFs managed by EU AIFMs are subject to the NPPR of each of the Member States where the AIFs are marketed or managed. However, the AIFMD makes provision for the passport, which...
ESMA publishes review on best execution supervisory practices under MiFID
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 ...
The European Securities and Markets Authority (ESMA) has conducted a peer review on how national regulators (national competent authorities or NCAs) supervise and enforce the MiFID provisions relating to investment firms’ obligation to provide best execution, or obtain the best possible result, for...
ESMA reviews supervisory practices on MiFID investor information
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 ...
The European Securities and Markets Authority (ESMA) has conducted a peer review of how national regulators (national competent authorities or NCAs) supervise MiFID conduct of business rules on providing fair, clear and not misleading information to clients. The peer review focused on NCAs’...
Technical advice to the European Commission on the information that competent authorities should provide to ESMA pursuant to Article 67(3) of the AIFMD
27 March 2014
Contents Section II describes the background of the proposal. Section III specifies the timing for ...
Reasons for publication ESMA is issuing this technical advice in response to the mandate received from the European Commission on 20 December 2013 for advice on the possible content of the delegated act required by Article 67(5) of the AIFMD, concerning the information that EU competent authorities...