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SMSG advice on ESMA’s CP on the MiFID II compliance function

ESMA22106-2002
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 ...

Supervisory Briefing PreTradeTransparency Non-Equity Instruments

ESMA70-156-835
03 June 2019
Reference ESMA70-156-835 Section MiFID- Secondary Markets Supervisory convergence Type Report Main ...

SMSG advice on integrating sustainability risks and factors in MIFID, the UCITS Directive and AIFMD

ESMA22-106-1683
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 ...

SMSG Advice on Guidelines on certain aspects of the MiFID II suitability requirements

ESMA22-106-474
17 November 2017
document esma22-106-474_smsg_advice_esma_mifid_ii_suitability_guidelines.pdf Style ESMA document ...

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 ...

Follow-up Report to the Peer Review on MiFID Conduct of Business rules relating to fair, clear and not misleading information

ESMA42-113-627
18 May 2017
esma42-113-627_mifid_clear_and_not_misleading_information_follow_up_peer_review_report.pdf Style ESMA document ...

SMSG Advice - Response to ESMA’s Consultation Paper on MiFID II product governance

2016/SMSG/024
17 January 2017
document 2016-smsg-024_smsg_advice_on_mifid_ii_product_governance.pdf Style ESMA document ...

ESMA42-1643088512-2962 Follow-up Report to the Peer Review on Best Execution

ESMA42-1643088512-2962
11 January 2017
Reference ESMA42-1643088512-2962 Section MiFID- Investor Protection MiFID- Secondary Markets ...

SMSG Advice on Assessment of Knowledge and Competence in the Context of MiFID II

2015/SMSG/20
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

2015/SMSG/003
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 ...

SMSG advice - Investor Protection Aspects of the Consultation Paper on MiFID II and MiFIR

2014/SMSG/35
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

2014/SMSG/36
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

2014/SMSG/37
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 ...

Advice on Guidelines on certain aspects of the MiFID compliance function requirements

2012/SMSG/12
28 February 2012
Reference 2012/SMSG/12 Section Securities and Markets Stakeholder Group Type SMSG Advice Main document 2012-smsg-12_0.pdf Style ESMA document ...

Advice on Guidelines on certain aspects of the MiFID suitability requirements

2012/SMSG/11
28 February 2012
Reference 2012/SMSG/11 Section Securities and Markets Stakeholder Group Type SMSG Advice Main document 2012-smsg-11_0.pdf Style ESMA document ...