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Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body and key function holders

ESMA71-99-598
21 March 2018
Reference ESMA71-99-598 Section Guidelines and Technical standards Joint Committee MiFID- Investor ...

Final Report on Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body and key function holders

ESMA71-99-598
26 September 2017
Reference ESMA71-99-598 Section Guidelines and Technical standards Joint Committee MiFID- Investor ...

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 ...