SEARCH

REFINE YOUR SEARCH

Sections

Type of document

Your filters
Opinion X Decision X Vacancy X SMSG Advice X Press Release X MiFID - Investor Protection X Brexit X
Reset all filters

Pages

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 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 ...

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 ...

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 ...

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 ...

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 ...

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 ...

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 ...

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) ...

ESMA publishes MiFID guidelines to enhance investor protection

2012/424
06 July 2012
under the Markets in Financial Instruments Directive (MiFID) relating to the suitability of investment ... advice and the compliance function. Reference 2012/424 Section MiFID- Investor Protection Press Releases ...

Pages