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ESMA appoints new chairs to Standing Committees
29 September 2017
Corporate Information Innovation and Products Market Integrity MiFID- Secondary Markets Post Trading Type ...
Guidelines on the management body of market operators and data reporting service providers
28 September 2017
Reference ESMA70-154-266 Section Guidelines and Technical standards MiFID- Secondary Markets Type ...
EBA and ESMA provide guidance to assess the suitability of management body members and key function holders
26 September 2017
holders. Reference ESMA71-99-599 Section Guidelines and Technical standards Joint Committee MiFID- Investor ...
The European Banking Authority (EBA) and the European Securities and Markets Authority (ESMA) have published their joint Guidelines to assess the suitability of members of management bodies and key function holders.
Product Intervention - General Statement
28 June 2017
being discussed for (i) CFDs and rolling spot forex and (ii) binary options include proposals that take ... speculative products to retail investors under MiFID published 31 March 2017 |  ESMA/2016/1166 Warning ... MiFID- Investor Protection Type Statement Main document ...
This statement provides an update on the European Securities and Markets Authority’s (ESMA) work in relation to the sale of contracts for differences (CFDs), binary options and other speculative products to retail investors. ESMA has been concerned about the provision of speculative products such...
Final Report - Guidelines on transaction reporting, order record keeping and clock synchronisation under MiFID II
10 October 2016
Report Main document 2016-1451_final_report_on_guidelines_mifid_ii_transaction_reporting.pdf Style ESMA ... Reference 2016/1451 Section Guidelines and Technical standards MiFID- Secondary Markets Type Final ...
Draft RTS on indirect clearing arrangements under EMIR and MiFIR
26 May 2016
Reference 2016/725 Section Guidelines and Technical standards Post Trading MiFID- Secondary ...
Press Release - Investment-based crowdfunding needs EU-wide common approach
18 December 2014
Instruments Directive (MiFID), the Prospectus Directive, the Directive for Alternative Investment Fund ... include: the impact of the Prospects Directive thresholds; capital requirements and the use of the MiFID ... those platforms that currently operate outside of the scope of MiFID The Opinion and Advice have been ...
The European Securities and Markets Authority (ESMA) has published an Opinion along with an Advice on Investment-based crowdfunding. The Opinion clarifies the EU rules applicable to crowdfunding, while the Advice highlights issues for consideration by the EU institutions to achieve greater...
ESMA issues good practices for structured retail product governance
27 March 2014
2014/334 Section MiFID- Investor Protection Innovation and Products Type Press Release Main document ...
The European Securities and Markets Authority (ESMA) has published an opinion on structured retail products, setting out good practices for firms when manufacturing and distributing these products.
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...
Final report Guidelines on certain aspects of the MiFID suitability requirements
06 July 2012
Reference 2012/387 Section Guidelines and Technical standards MiFID- Investor Protection Type ...