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ESMA publishes MiFID II supervisory briefing on appropriateness and execution-only

13 mei in Geen onderdeel van een categorie

Context: The content of this supervisory briefing is not subject to any ‘comply or explain’ mechanism for National Competent Authorities (NCAs) and is non-binding. The main purpose is to contribute to a common supervisory culture by promoting common supervisory approaches and practices. The comments and questions in...

EU Council agrees position on easier access to financial markets for SMEs : Negotiations to start with EC And EU Parliament

13 mei in Geen onderdeel van een categorie

Background As part of the capital markets union, the EU is taking steps to help small and medium businesses access new sources of funding. EU ambassadors today endorsed the Council's position on a proposal to give an easier access to SMEs trying to list and...

ESMA: Speech Verena Ross – Cross-border Distribution Conference / Luxemburg 12 February 2019

13 mei in Geen onderdeel van een categorie

Interesting Keynote Address by Verena Ross at the 7th Annual Cross-Border Distribution Conference in Luxembourg, 12 February 2019. Main items: Investment funds and systemic risks Concerns about the risks posed by the so-called ‘liquidity mismatch’ FSB and ESRB 2 main areas of concern : leverage and liquidity EU Alternate...

ESMA: The state of Implementation of MiFID II and preparing for Brexit

13 mei in Geen onderdeel van een categorie

Interesting speech by Steven Maijoor, Chair of the European Securities and Markets Authority, at the WFE Annual Meeting 2018 - Hotel Grande Bretagne, Athens, Greece, 3 October 2018 Topics covered: MIFID II and trading venues outside the EU Relocation and consistent regulatory and supervisory standards Improving...