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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 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 ...

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 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 ...

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 ...