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Structured Retail Products - Good practices for product governance arrangements
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 ...
Legal basis 1. Regulation (EU) No 1095/2010 (ESMA Regulation) sets out the European Securities and Markets Authority’s (ESMA) scope of action, tasks and powers which include “enhancing customer protection”, and “foster[ing] investor protection”. 2. In order to continue delivering on this investor...
MiFID practices for firms selling complex products
07 February 2014
Reference 2014/146 Section MiFID- Investor Protection Warnings and publications for investors Type ...
Technical advice on CRA regulatory equivalence - US, Canada and Australia
18 April 2012
to the European Commission in respect of the equivalence between the US (Part I), Canada (Part II) and Australia ...
On 12 June 2009 the European Commission requested CESR, now ESMA, to provide its technical advice on the equivalence between the legal and supervisory framework of Japan, The United States, and Canada with the EU regulatory regime for credit rating agencies. (Regulation (EC) No. 1060/2009 of the...