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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 ...

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 ...

Letter to Jonathan Faull (EC) regarding draft technical standards

2013/1941
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

2012/476
27 July 2012
Reference 2012/476 Section MiFID- Investor Protection Type Letter Main document esma-2012 ...