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MiFID - Investor Protection
Supervisory convergence
Peer review on certain aspects of the compliance function under Mi-FID I
ESMA42-111-4285
29 November 2017
Reference ESMA42-111-4285 Section MiFID- Investor Protection Supervisory convergence Type Final ...
MiFID - Investor Protection
Supervisory convergence
Suitability Peer Review - Annex
2016/585
07 April 2016
Reference 2016/585 Section MiFID- Investor Protection Supervisory convergence Type Final Report ...
MiFID - Investor Protection
Supervisory convergence
Suitability Peer Review - Final Report
2016/584
07 April 2016
Reference 2016/584 Section MiFID- Investor Protection Supervisory convergence Type Final Report ...
MiFID - Investor Protection
Supervisory convergence
Best Execution under MiFID
2015/494
25 February 2015
regulators (national competent authorities or NCAs) supervise and enforce the MiFID provisions relating ... Luxembourg, Malta, Poland and Spain. Reference 2015/494 Section MiFID- Investor Protection Supervisory ... convergence Type Final Report Main document 2015-494_peer_review_report_on_best_execution_under_mifid ...
Supervisory convergence
MiFID – Conduct of Business, fair, clear and not misleading information
2014/1485
11 December 2014
regulators (national competent authorities or NCAs) supervise MiFID conduct of business rules on providing ... communications under MiFID. The Report found that there was overall a high degree of compliance amongst NCAs with ... -1485_peer_review_report_-_mifid_-_conduct_of_business_fair_clear_and_not_misleading_information.pdf Style ...