Thu. Sep 19th, 2019

Planet Compliance

Innovation & Regulation in Finance

Commission adopts regulation on investment recommendations, disclosure of interests and conflicts of interest

2 min read

The European Commission has adopted a delegated regulation with regard to the objective presentation of investment recommendations or other information recommending or suggesting an investment strategy and for disclosure of particular interests or indications of conflicts of interest, which supplements the Market Abuse Regulation (Regulation (EU) No 596/2014 of the European Parliament and of the Council).

ESMA had developed draft regulatory technical standards to determine the technical arrangements, which were submitted to the Commission on 28 September 2015.

The full text of the EC regulation can be found here.

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