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Peer review on certain aspects of the compliance function under Mi-FID I

ESMA42-111-4285
29 November 2017
Reference ESMA42-111-4285 Section MiFID- Investor Protection Supervisory convergence Type Final ...

Opinion to support supervisory convergence in the area of secondary markets in the context of the United Kingdom withdrawing from the European Union

ESMA70-154-270
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

ESMA35-43-762
13 July 2017
Reference ESMA35-43-762 Section Brexit MiFID- Investor Protection Supervisory convergence Type ...

Suitability Peer Review - Annex

2016/585
07 April 2016
Reference 2016/585 Section MiFID- Investor Protection Supervisory convergence Type Final Report ...

Suitability Peer Review - Final Report

2016/584
07 April 2016
Reference 2016/584 Section MiFID- Investor Protection Supervisory convergence Type Final Report ...

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

2015/1235
30 July 2015
constitutes a “professional investor”; ii) varying interpretations of what activities constitute “marketing” ...

Best Execution under MiFID

2015/494
25 February 2015
regulators (national competent authorities or NCAs) supervise and enforce the MiFID provisions relating ... Luxembourg, Malta, Poland and Spain. Reference 2015/494 Section MiFID- Investor Protection Supervisory ... convergence Type Final Report Main document 2015-494_peer_review_report_on_best_execution_under_mifid ...

MiFID – Conduct of Business, fair, clear and not misleading information

2014/1485
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 ... -1485_peer_review_report_-_mifid_-_conduct_of_business_fair_clear_and_not_misleading_information.pdf Style ...

MiFID practices for firms selling complex products

2014/146
07 February 2014
Reference 2014/146 Section MiFID- Investor Protection Warnings and publications for investors Type ...