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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 ...
Draft technical standards under Article 10a(8) of MiFID on the assessment of acquisitions and increases in qualifying holdings in investment firms
06 January 2014
(MiFID) requires Member States to make publicly available the information necessary to carry out ... Article 10a of MiFID, as amended by Article 6(4) of the Omnibus Directive, requires ESMA to draft: ... 10b(4) of MiFID. implementing technical standards (ITS) to determine standard forms, templates and ...
Reasons for publication Article 10b(4) of the Markets in Financial Instruments Directive (MiFID) requires Member States to make publicly available the information necessary to carry out the assessment of a proposed acquirer of an investment firm. This information must be provided by the proposed...
MiFID Q&A in the area of investor protection and intermediaries
22 June 2012
Reference 2012/382 Section MiFID- Investor Protection Type Q&A Main document 2012-382.pdf ...
Final report - Regulatory Technical Standards on the presentation of the information that credit rating agencies shall disclose in accordance with Article 11(2) and point 1 of Part II of Section E of Annex I to Regulation (EC) No 1060/2009
22 December 2011
Reference 2011/461 Section Credit Rating Agencies Type Technical Standards Main document 2011_461.pdf Style ESMA document ...
Questions and answers on MiFID: Common positions agreed by CESR Members in the area of the Secondary Markets Standing Committee
06 May 2010
Reference 10-591 Section CESR Archive Type Q&A Main document 10_591.pdf Style ESMA document ...
Question and Answers - Understanding the definition of advice under MiFID
19 April 2010
Reference 10-293 Section CESR Archive Type Q&A Main document 10_293.pdf Style ESMA document ...
Questions and Answers - MiFID complex and non complex financial instruments for the purposes of the Directive’s appropriateness requirements
03 November 2009
Reference 09-559 Section CESR Archive Type Q&A Main document 09_559.pdf Style ESMA document ...