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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 ...
Legal basis 1. Regulation (EU) No 1095/2010 (ESMA Regulation) sets out the European Securities and Markets Authority’s (ESMA) scope of action, tasks and powers which include “enhancing customer protection”, and “foster[ing] investor protection”. 2. In order to continue delivering on this investor...
MiFID practices for firms selling complex products
07 February 2014
Reference 2014/146 Section MiFID- Investor Protection Warnings and publications for investors Type ...
Letter to Jonathan Faull (EC) regarding draft technical standards
28 January 2014
Reference 2013/1941 Section MiFID- Investor Protection MiFID- Secondary Markets Type Letter Main ...
Reply of ESMA to the European Commission’s Green Paper on Shadow Banking
27 July 2012
Reference 2012/476 Section MiFID- Investor Protection Type Letter Main document esma-2012 ...