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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” ...

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 ...

Questions and answers on MiFID: Common positions agreed by CESR Members in the area of the Secondary Markets Standing Committee

06 May 2010
Reference 10-591 Section CESR Archive Type Q&A Main document 10_591.pdf Style ESMA document ...

Question and Answers - Understanding the definition of advice under MiFID

19 April 2010
Reference 10-293 Section CESR Archive Type Q&A Main document 10_293.pdf Style ESMA document ...

Questions and Answers - MiFID complex and non complex financial instruments for the purposes of the Directive’s appropriateness requirements

03 November 2009
Reference 09-559 Section CESR Archive Type Q&A Main document 09_559.pdf Style ESMA document ...