SEARCH

REFINE YOUR SEARCH

Sections

Type of document

Your filters
Opinion X Q&A X Vacancy X SMSG Advice X Statement X Warnings and publications for investors X Securities and Markets Stakeholder Group X
Reset all filters

SMSG advice on ESMA’s CP on the MiFID II compliance function

ESMA22106-2002
06 November 2019
Reference ESMA22106-2002 Section Securities and Markets Stakeholder Group Type SMSG Advice Main document smsg_advice_on_compliance_requirements.pdf Style ESMA document ...

Statement of the EBA and ESMA on the treatment of retail holdings of debt financial instruments subject to the Bank Recovery and Resolution Directive

ESMA71-99-991
30 May 2018
Reference ESMA71-99-991 Section MiFID- Investor Protection Warnings and publications for investors ...

Statement on preparatory work of the European Securities and Markets Authority in relation to CFDs and binary options offered to retail clients

ESMA71-99-910
15 December 2017
Reference ESMA71-99-910 Section MiFID- Investor Protection Warnings and publications for investors ...

SMSG Advice on Guidelines on certain aspects of the MiFID II suitability requirements

ESMA22-106-474
17 November 2017
document esma22-106-474_smsg_advice_esma_mifid_ii_suitability_guidelines.pdf Style ESMA document ...

SMSG Advice - Response to ESMA’s Consultation Paper on MiFID II product governance

2016/SMSG/024
17 January 2017
document 2016-smsg-024_smsg_advice_on_mifid_ii_product_governance.pdf Style ESMA document ...

SMSG Advice on Assessment of Knowledge and Competence in the Context of MiFID II

2015/SMSG/20
24 July 2015
Reference 2015/SMSG/20 Section Securities and Markets Stakeholder Group Type SMSG Advice Main document 2015-smsg-020-advice_on_knowledge_and_competence_requirements.pdf Style ESMA document ...

SMSG Contribution to the Green Paper on CMU - PART II

2015/SMSG/017 PART II
19 May 2015
Reference 2015/SMSG/017 PART II Section Securities and Markets Stakeholder Group Type SMSG Advice ... 2015-smsg-017-esma_smsg_-_part_ii_contribution_to_the_green_paper_on_cmu_quick_wins_comments.pdf Style ESMA document ...

SMSG Response to ESMA’s Consultation Paper on Draft Regulatory Technical Standards on prospectus related issues under the Omnibus II Directive

2015/SMSG/003
22 January 2015
Reference 2015/SMSG/003 Section Securities and Markets Stakeholder Group Type SMSG Advice Main document 2015-smsg-003_smsg_advice_prospectus.pdf Style ESMA document ...

SMSG advice - Investor Protection Aspects of the Consultation Paper on MiFID II and MiFIR

2014/SMSG/35
03 September 2014
Reference 2014/SMSG/35 Section Securities and Markets Stakeholder Group Type SMSG Advice Main document 2014-smsg-035.pdf Style ESMA document ...

SMSG advice - Trading Venues Aspects of the Consultation Paper on MiFID II and MiFIR

2014/SMSG/36
03 September 2014
Reference 2014/SMSG/36 Section Securities and Markets Stakeholder Group Type SMSG Advice Main document 2014-smsg-036.pdf Style ESMA document ...

SMSG advice - Transparency and trading obligations (equities) aspects of the Consultation Paper and Discussion Paper on MiFID II/MiFIR

2014/SMSG/37
03 September 2014
Reference 2014/SMSG/37 Section Securities and Markets Stakeholder Group Type SMSG Advice Main document 2014-smsg-037.pdf Style ESMA document ...

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 ...

Advice on Guidelines on certain aspects of the MiFID compliance function requirements

2012/SMSG/12
28 February 2012
Reference 2012/SMSG/12 Section Securities and Markets Stakeholder Group Type SMSG Advice Main document 2012-smsg-12_0.pdf Style ESMA document ...

Advice on Guidelines on certain aspects of the MiFID suitability requirements

2012/SMSG/11
28 February 2012
Reference 2012/SMSG/11 Section Securities and Markets Stakeholder Group Type SMSG Advice Main document 2012-smsg-11_0.pdf Style ESMA document ...