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ESMA's opinion to the European Parliament, Council and Commission and responses to the call for evidence on the functioning of the AIFMD EU passport and of the National Private Placement Regimes
30 July 2015
constitutes a “professional investor”; ii) varying interpretations of what activities constitute “marketing” ...
AIFMD and the request to ESMA for an Opinion In accordance with Articles 36 and 42 of the AIFMD, non-EU AIFMs and non-EU AIFs managed by EU AIFMs are subject to the NPPR of each of the Member States where the AIFs are marketed or managed. However, the AIFMD makes provision for the passport, which...
MiFID practices for firms selling complex products
07 February 2014
Reference 2014/146 Section MiFID- Investor Protection Warnings and publications for investors Type ...
Questions and answers on MiFID: Common positions agreed by CESR Members in the area of the Secondary Markets Standing Committee
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
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
03 November 2009
Reference 09-559 Section CESR Archive Type Q&A Main document 09_559.pdf Style ESMA document ...