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ESMA71-99-973 Press Release Product Intervention EUOJ publication
01 June 2018
Reference ESMA71-99-973 Section MiFID- Investor Protection Press Releases Warnings and ...
PR on EBA-ESMA statement on retail holders of bail-inable instruments
30 May 2018
Reference ESMA71-99-987 Section MiFID- Investor Protection Press Releases Warnings and ...
Statement of the EBA and ESMA on the treatment of retail holdings of debt financial instruments subject to the Bank Recovery and Resolution Directive
30 May 2018
Reference ESMA71-99-991 Section MiFID- Investor Protection Warnings and publications for investors ...
Statement on preparatory work of the European Securities and Markets Authority in relation to CFDs and binary options offered to retail clients
15 December 2017
Reference ESMA71-99-910 Section MiFID- Investor Protection Warnings and publications for investors ...
ESMA appoints new chairs to Standing Committees
29 September 2017
Corporate Information Innovation and Products Market Integrity MiFID- Secondary Markets Post Trading Type ...
Product Intervention - General Statement
28 June 2017
being discussed for (i) CFDs and rolling spot forex and (ii) binary options include proposals that take ... speculative products to retail investors under MiFID published 31 March 2017 |  ESMA/2016/1166 Warning ... MiFID- Investor Protection Type Statement Main document ...
This statement provides an update on the European Securities and Markets Authority’s (ESMA) work in relation to the sale of contracts for differences (CFDs), binary options and other speculative products to retail investors. ESMA has been concerned about the provision of speculative products such...
Press Release - Investment-based crowdfunding needs EU-wide common approach
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 ...
The European Securities and Markets Authority (ESMA) has published an Opinion along with an Advice on Investment-based crowdfunding. The Opinion clarifies the EU rules applicable to crowdfunding, while the Advice highlights issues for consideration by the EU institutions to achieve greater...
ESMA issues good practices for structured retail product governance
27 March 2014
2014/334 Section MiFID- Investor Protection Innovation and Products Type Press Release Main document ...
The European Securities and Markets Authority (ESMA) has published an opinion on structured retail products, setting out good practices for firms when manufacturing and distributing these products.
Structured Retail Products - Good practices for product governance arrangements
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 ...
Legal basis 1. Regulation (EU) No 1095/2010 (ESMA Regulation) sets out the European Securities and Markets Authority’s (ESMA) scope of action, tasks and powers which include “enhancing customer protection”, and “foster[ing] investor protection”. 2. In order to continue delivering on this investor...
ESMA tells firms to improve their selling practices for complex financial products
07 February 2014
selling practices under MiFID (Markets in Financial Instruments Directive).ESMA is issuing this Opinion as ... it is concerned that firms’ compliance with the MiFID selling practices when selling complex products ... posed by these products to investor protection when MiFID rules are not fully respected is such that we ...
The European Securities and Markets Authority (ESMA) has published an Opinion on practices to be observed by investment firms when selling complex financial products to investors. ESMA is issuing this opinion to remind national supervisors and investment firms about the importance of requirements...
MiFID practices for firms selling complex products
07 February 2014
Reference 2014/146 Section MiFID- Investor Protection Warnings and publications for investors Type ...
ESMA and the EBA warn investors about contracts for difference
28 February 2013
376395Email: firstname.lastname@example.org Reference 2013/266 Section MiFID- Investor Protection Warnings and ...
The European Securities and Markets Authority (ESMA) and the European Banking Authority (EBA) have published a warning to retail investors about the dangers of investing in contracts for difference (CFDs).The two authorities are concerned that during the current period of low investment returns,...