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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 ...

Questions and answers on MiFID: Common positions agreed by CESR Members in the area of the Secondary Markets Standing Committee

10-591
06 May 2010
Reference 10-591 Section CESR Archive Type Q&A Main document 10_591.pdf Style ESMA document ...

Question and Answers - Understanding the definition of advice under MiFID

10-293
19 April 2010
Reference 10-293 Section CESR Archive Type Q&A Main document 10_293.pdf Style ESMA document ...

Questions and Answers - MiFID complex and non complex financial instruments for the purposes of the Directive’s appropriateness requirements

09-559
03 November 2009
Reference 09-559 Section CESR Archive Type Q&A Main document 09_559.pdf Style ESMA document ...