SEARCH

REFINE YOUR SEARCH

Sections

Type of document

Your filters
Opinion X Speech X Press Release X Innovation and Products X Warnings and publications for investors X
Reset all filters
MiFID - Investor Protection
Press Releases
Warnings and publications for investors

ESMA71-99-973 Press Release Product Intervention EUOJ publication

ESMA71-99-973
01 June 2018
Reference ESMA71-99-973 Section MiFID- Investor Protection Press Releases Warnings and ...
esma71-99-973_press_release_product_intervention_euoj_publication.pdf
MiFID - Investor Protection
Press Releases
Warnings and publications for investors

PR on EBA-ESMA statement on retail holders of bail-inable instruments

ESMA71-99-987
30 May 2018
Reference ESMA71-99-987 Section MiFID- Investor Protection Press Releases Warnings and ...
esma71-99-987_pr_on_eba-esma_opinion_on_retail_holders_of_bail-inable_instruments.pdf
Innovation and Products
Press Releases

Press Release - Investment-based crowdfunding needs EU-wide common approach

2014/1568
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 ...
2014-1568_investment-based_crowdfunding_needs_eu-wide_common_approach.pdf
MiFID - Investor Protection
Innovation and Products

ESMA issues good practices for structured retail product governance

2014/334
27 March 2014
2014/334 Section MiFID- Investor Protection Innovation and Products Type Press Release Main document ...
2014-334_esma_issues_good_practices_for_structured_retail_product_governance.pdf
MiFID - Investor Protection
Innovation and Products

Structured Retail Products - Good practices for product governance arrangements

2014/332
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 ...
2014-332_esma_opinion_u_structured_retail_products_-_good_practices_for_product_governance_arrangements.pdf
MiFID - Investor Protection
Warnings and publications for investors

ESMA tells firms to improve their selling practices for complex financial products

2014/152
07 February 2014
selling practices under MiFID (Markets in Financial Instruments Directive).ESMA is issuing this Opinion as ... it is concerned that firms’ compliance with the MiFID selling practices when selling complex products ... posed by these products to investor protection when MiFID rules are not fully respected is such that we ...
2014-152_complex_financial_products.pdf
MiFID - Investor Protection
Warnings and publications for investors

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 ...
ipisc_complex_products_-_opinion_20140105.pdf
MiFID - Investor Protection
Warnings and publications for investors
Press Releases

ESMA and the EBA warn investors about contracts for difference

2013/266
28 February 2013
376395Email: francarosa.congiu@eba.europa.eu Reference 2013/266 Section MiFID- Investor Protection Warnings and ...
2013-266_1.pdf