REFINE YOUR SEARCH
Type of document
Opinion X Final Report X Guidelines & Recommendations X Statement X Speeches X Fund Management X Supervisory convergence XReset all filters
ESMA new SC chairs
07 November 2018
Reference ESMA71-99-1058 Section Fund Management MiFID- Investor Protection Risk Analysis & ...
Peer review on certain aspects of the compliance function under Mi-FID I
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
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
13 July 2017
Reference ESMA35-43-762 Section Brexit MiFID- Investor Protection Supervisory convergence Type ...
ESMA appoints new chairs to Standing Committees
30 September 2016
2016/1408 Section Board of Supervisors Fund Management Market Integrity MiFID- Investor Protection Type ...
The Board of Supervisors of the European Securities and Markets Authority (ESMA) has appointed the following individuals to serve as chairs of its standing committees: Hannelore Lausch, Executive Director of the Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin), Germany, will chair the Market...
Statement by Steven Maijoor at ECON MiFID II/MiFIR Scrutiny Session, 21 June 2016
20 June 2016
2016-940_statement_econ_hearing_mifid_ii.pdf Style ESMA document ... Reference 2016/940 Section Speeches MiFID- Secondary Markets Type Statement Main document ...
Suitability Peer Review - Annex
07 April 2016
Reference 2016/585 Section MiFID- Investor Protection Supervisory convergence Type Final Report ...
Suitability Peer Review - Final Report
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
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...
Best Execution under MiFID
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 ...
The European Securities and Markets Authority (ESMA) has conducted a peer review on how national regulators (national competent authorities or NCAs) supervise and enforce the MiFID provisions relating to investment firms’ obligation to provide best execution, or obtain the best possible result, for...
MiFID – Conduct of Business, fair, clear and not misleading information
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 ...
The European Securities and Markets Authority (ESMA) has conducted a peer review of how national regulators (national competent authorities or NCAs) supervise MiFID conduct of business rules on providing fair, clear and not misleading information to clients. The peer review focused on NCAs’...
Key concepts of the AIFMD
13 August 2013
Table of Contents I. Scope II. Definitions III. Purpose IV. Compliance and reporting obligations ...
Table of Contents I. Scope II. Definitions III. Purpose IV. Compliance and reporting obligations V. Guidelines on the treatment of investment compartments of an undertaking VI. Guidelines on ‘collective investment undertaking’ VII. Guidelines on ‘raising capital’ VIII. Guidelines on ‘number of...