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ESMA reminds firms of responsibilities when selling bail-in securities

2016/903
02 June 2016
Reference 2016/903 Section MiFID- Investor Protection Type Press Release Main document ...

ESMA issues opinion on MiFID II standards on ancillary activities

2016/742
30 May 2016
Reference 2016/742 Section Press Releases MiFID- Secondary Markets Type Press Release Main ...

Press release MiFID II RTS

2016/566
02 May 2016
document 2016-566_press_release_-_mifid_ii_rts.pdf Style ESMA document ... Reference 2016/566 Section Press Releases MiFID- Secondary Markets Type Press Release Main ...

ESMA finds room for improvement in national supervision of investment advice to retail clients

2016/582
07 April 2016
Reference 2016/582 Section MiFID- Investor Protection Press Releases Supervisory convergence Type ...

ESMA not to exempt ETD under MiFID II

2016/566
04 April 2016
document 2016-566_esma_not_to_exempt_etd_under_mifid_ii.pdf Style ESMA document ... Reference 2016/566 Section Press Releases MiFID- Secondary Markets Type Press Release Main ...

Press Release Cross Selling Guidelines

2015/1872
22 December 2015
Practices under MiFID II (guidelines) to ensure investors are treated fairly when an investment firm offers ... guidelines under MiFID II in order to meet its 3 January 2016 deadline. While ESMA’s guidelines take into ... cross-selling practices under MIFID II. Further, the guidelines are addressed to national regulators supervising ...

Press Release - MIFID II MAR CSDR

2015/1466
28 September 2015
2015-1466_press_release_-_final_mifid_ii_mar_csdr_0.pdf Style ESMA document ...

ESAs - main risks to EU financial market stability have intensified

JC/2015/02
05 May 2015
Directive (MiFID II) and Regulation (MiFIR), the work on the implementation of the Capital Requirements ... the Deposit-Guarantee Schemes Directive (DGS) and the Solvency II Directive, as well as the European Commission’s plan ... securities sectors, such as the Comprehensive Assessment, the insurance sector stress test and Solvency II ...

Press release - ESMA launches centralised data projects for MiFIR and EMIR

2015/674
01 April 2015
Reference 2015/674 Section MiFID- Secondary Markets Press Releases Type Press Release Main ... document 20150326_2015-674_esma_launches_centralised_data_projects_for_mifid_and_emir.pdf Style ESMA ...

ESMA publishes review on best execution supervisory practices under MiFID

2015/495
25 February 2015
regulators (national competent authorities or NCAs) supervise and enforce the MiFID provisions relating ... Luxembourg, Malta, Poland and Spain. Reference 2015/495 Section MiFID- Investor Protection Press Releases ...

ESMA provides implementing rules for MiFID II

2014/1574
19 December 2014
(RTS/ ITS) regarding the implementation of the Markets in Financial Instruments Directive (MiFID II) and ... Regulation (MiFIR). Both ESMA’s TA and draft RTS translate the MiFID II/MiFIR requirements into practically ... MiFID II will have a significant impact on the EU’s securities markets, its users and infrastructure ...

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 ...

ESMA reviews supervisory practices on MiFID investor information

2014/1478
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 ... 2014-1478_esma_reviews_supervisory_practices_on_mifid_investor_information.pdf Style ESMA document ...

EBA, ESMA and EIOPA consult on technical standards for financial conglomerates risk concentration and intra-group transactions

2014/61
24 July 2014
to coordinate the provisions laid down in Articles 7 and 8 and Annex II. Reference 2014/61 Section Joint ...

ESMA consults on MiFID reforms

2014/557
22 May 2014
the implementation of the revised Markets in Financial Instruments Directive (MiFID II) and Regulation (MiFIR). This ... is the first step in the process of translating the MiFID II/MiFIR requirements into practically ... MIFID II achieves its objectives in practice, ESMA is publishing the following documents:1.    ...

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 ...

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 ...

ESMA clarifies pay rules applicable to investment firms

2013/726
11 June 2013
Reference 2013/726 Section MiFID- Investor Protection Type Press Release Main document ... 2013-726_press_release_on_mifid_remuneration_guidelines.pdf Style ESMA document ...

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 ...

ESMA proposes remuneration guidelines for firms providing investment services

2012/581
17 September 2012
Reference 2012/581 Section MiFID- Investor Protection Press Releases Type Press Release Main ... practices (MiFID) ...