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ESMA finds improvements in regulators’ supervisory practices concerning MiFID rules on fair, clear and not misleading information

18 May 2017
deficiencies identified in the 2014 Peer Review on MiFID Conduct of Business rules relating to fair, clear and ... under MiFID. The 2014 Review concluded that there was overall a high degree of compliance amongst ... practices relating to the effective application of MiFID rules, i.e. around organisation, supervision, ...

Follow-up Report to the Peer Review on MiFID Conduct of Business rules relating to fair, clear and not misleading information

ESMA42-113-627
18 May 2017
esma42-113-627_mifid_clear_and_not_misleading_information_follow_up_peer_review_report.pdf Style ESMA document ...

ESMA publishes 2017 Supervisory Convergence Work Programme

09 February 2017
the following priorities: the implementation of MiFID II/MiFIR and MAR including the underlying IT projects; ...

ESMA publishes 2017 Supervisory Convergence Work Programme

ESMA71-844457584-345
09 February 2017
of MiFID II/MiFIR and MAR including the underlying IT projects; improving the quality to data collected by ...

ESMA finds improvement in regulators’ supervision of MiFID best execution requirements

11 January 2017
MiFID- Investor Protection MiFID- Secondary Markets Supervisory convergence The European ... execution requirements under the Markets in Financial Instruments Directive (MiFID) in the follow-up report ... to its Peer Review published in 2015. Best execution refers to the obligation under article 21 of MiFID ...

ESMA42-1643088512-2962 Follow-up Report to the Peer Review on Best Execution

ESMA42-1643088512-2962
11 January 2017
Reference ESMA42-1643088512-2962 Section MiFID- Investor Protection MiFID- Secondary Markets ...

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

07 April 2016
MiFID- Investor Protection Press Releases Supervisory convergence The European Securities and ... with MiFID’s suitability requirements when firms provide investment advice to retail clients. These ... enforcement activities. Steven Maijoor, ESMA Chair, said: “The MiFID suitability requirements are a key ...

Suitability Peer Review - Annex

2016/585
07 April 2016
Reference 2016/585 Section MiFID- Investor Protection Supervisory convergence Type Final Report ...

Suitability Peer Review - Final Report

2016/584
07 April 2016
Reference 2016/584 Section MiFID- Investor Protection Supervisory convergence Type Final Report ...

SUPERVISORY CONVERGENCE

15 August 2015
Ensuring that MiFID II/MiFIR are applied in a sound, efficient and consistent manner across the EU. ...

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 ...

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 ...

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 ...

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 ...