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Reset all filtersMiFID - Investor Protection
Supervisory convergence
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 ...
Brexit
MiFID - Secondary Markets
Supervisory convergence
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 ...
Brexit
MiFID - Investor Protection
Supervisory convergence
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 ...
MiFID - Investor Protection
Supervisory convergence
Suitability Peer Review - Annex
2016/585
07 April 2016
Reference 2016/585 Section MiFID- Investor Protection Supervisory convergence Type Final Report ...
MiFID - Investor Protection
Supervisory convergence
Suitability Peer Review - Final Report
2016/584
07 April 2016
Reference 2016/584 Section MiFID- Investor Protection Supervisory convergence Type Final Report ...
Market Integrity
Short Selling
Emergency measure by the Greek HCMC under Section 1 of Chapter V of Regulation (EU) No 236/2012 on short selling and certain aspects of credit default swaps
2016/28
11 January 2016
44(1) of the ESMA Regulation the Board of Supervisors has adopted this opinion. II.Previous measures ...
Short Selling
Market Integrity
ESMA Opinion on emergency measure by the Greek HCMC under the Short Selling Regulation
2015/1489
30 September 2015
of the ESMA Regulation the Board of Supervisors has adopted this opinion. II. Background 3. On the 29th ...
Market Integrity
Short Selling
ESMA Opinion on emergency measure by the Greek HCMC under the Short Selling Regulation
2015/1304
01 September 2015
with Article 44(1) of the ESMA Regulation the Board of Supervisors has adopted this opinion. II ...
Short Selling
Market Integrity
ESMA Opinion on the renewal of emergency measure by the Greek HCMC under the Short Selling Regulation
2015/1243
03 August 2015
accordance with Article 44(1) of the ESMA Regulation the Board of Supervisors has adopted this opinion. II ... Thus, the following financial instruments under MiFID are included: options, covered warrants, futures, ...
Short Selling
Market Integrity
ESMA Opinion on the renewal of emergency measure by the Greek HCMC under the Short Selling Regulation
2015/1218
28 July 2015
accordance with Article 44(1) of the ESMA Regulation the Board of Supervisors has adopted this opinion. II ... to the Annex of Commission Regulation No 918/2012. Thus, the following financial instruments under MiFID are ...
Short Selling
Market Integrity
ESMA Opinion on the renewal of emergency measure by the Greek HCMC under the Short Selling Regulation
2015/1139
21 July 2015
accordance with Article 44(1) of the ESMA Regulation the Board of Supervisors has adopted this opinion. II ... MiFID are included: options, covered warrants, futures, index-related instruments, contracts for ...
Short Selling
Market Integrity
ESMA Opinion on the renewal of emergency measure by the Greek HCMC under short selling regulation
2015/1131
13 July 2015
accordance with Article 44(1) of the ESMA Regulation the Board of Supervisors has adopted this opinion. II ...
Short Selling
Market Integrity
ESMA Opinion on the renewal of emergency measure by the Greek HCMC under the Short Selling Regulation
2015/1104
07 July 2015
accordance with Article 44(1) of the ESMA Regulation the Board of Supervisors has adopted this opinion. II ...
MiFID - Investor Protection
Supervisory convergence
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 ...
Supervisory convergence
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 - Investor Protection
Warnings and publications for investors
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 ...