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Supervisory Briefing PreTradeTransparency Non-Equity Instruments
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
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 ...
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...
Follow-up Report to the Peer Review on MiFID Conduct of Business rules relating to fair, clear and not misleading information
18 May 2017
esma42-113-627_mifid_clear_and_not_misleading_information_follow_up_peer_review_report.pdf Style ESMA document ...
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...
ESMA42-1643088512-2962 Follow-up Report to the Peer Review on Best Execution
11 January 2017
Reference ESMA42-1643088512-2962 Section MiFID- Investor Protection MiFID- Secondary Markets ...
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 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’...