Investor Protection

Performance of Investments depends highly on Charges according to ESMA

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The European Securities and Markets Authority (ESMA) today publishes its first Annual Statistical Report (Report) on the cost and performance of retail investment products. The Report covers Undertakings for Collective Investment in Transferable Securities (UCITS), Alternative Investment Funds sold to retail investors (retail AIFs) and Structured Retail Products (SRPs). The analysis complements ESMA’s risk assessment, supervisory …

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The end of CFDs and Binary Options? – Why the EU has put a stop & what comes next

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The writing has been on the wall: times for CFDs and Binary Options are getting more difficult with the latest announcements from the European financial watchdog, ESMA (European Securities and Markets Authority) to ban the marketing, distribution and sale to retail investors. Does this CFD ban and prohibition of Binary Options mark the end of the …

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ESMA publishes various MiFID II updates and documents

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It has been a busy month of MiFID II updates. ESMA has published six documents that provide further detail or clarification for the MiFID II framework that was launched on 3 January 2018. Launch of Bond Liquidity System The regulator kicked the month of with the launch of a bond liquidity system. It is the …

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ESMA provides update on Investor Protection and Intermediary Topics under MiFID II

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The European Securities and Markets Authority (ESMA) has added 9 new or updated Q&As to its Questions and Answers (Q&A) on MiFID II/MiFIR investor protection topics. The new or updated Q&As cover the topics of best execution, client categorisation, provision of investment services and activities by third country firms, and other issues. The overall MiFID II Q&A …

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Do Banks Comply with MiFID II? – Insights from the German Regulator

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Today, it’s been 133 days that MiFID II has become applicable. Time to take stock and have a first look at MiFID II compliance – Do financial institutions follow the new rules? What are the stumbling blocks? And where do they need to improve? It is indeed early for a conclusive picture, but the outcome …

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European Regulator seeks simplifications to format and content of prospectus

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The European Securities and Markets Authority (ESMA) published the first Part of its Technical Advice (TA) under the Prospectus Regulation. The TA is published in response to a mandate from the European Commission (EC) of 28 February 2017, and has been developed following extensive consultation with the public through three Consultation Papers published on 6 …

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ESMA updates on Investor Protection and Commodity Derivatives under MiFID II

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The European Securities and Markets Authority (ESMA) has issued several updates regarding Investor Protection and Commodity Derivatives under MiFID II today. The first statement refers to its Questions and Answers (Q&As) on the Markets in Financial Instruments Directive (MiFID II) and Regulation (MiFIR) regarding commodity derivatives topics. These Q&As provide clarification on issues related to the MiFIDII/MiFIR …

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International regulator focuses on protection of ageing investors

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The Board of the International Organization of Securities Commissions (IOSCO) has published today a report that examines the growing vulnerability of ageing investors to financial fraud and other risks and identifies sound practices for enhancing their protection. The report states that an ageing population, whether due to declining fertility rates or rising life expectancy or …

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ESMA provides several updates on investor protection under MiFID II

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The European Securities and Markets Authority (ESMA) has added 4 new Q&As to its Questions and Answers (Q&A) document on the implementation of investor protection topics under the Market in Financial Instruments Directive and Regulation (MiFID II/ MiFIR). The new Q&As cover the topics of post-sale reporting, record keeping, and inducements. The overall MiFID II Q&A …

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European regulators publish guidelines on suitability assessment for senior management

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The European Banking Authority (EBA) and the European Securities and Markets Authority (ESMA) have published their joint Guidelines to assess the suitability of members of management bodies and key function holders. The authorities issued these guidelines in accordance with MiFID II, in particular with the requirements introduced by Directive 2013/36/EU and Directive 2014/65/EU, ESMA and EBA …

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Performance of Investments depends highly on Charges according to ESMA

The end of CFDs and Binary Options? – Why the EU has put a stop & what comes next

ESMA publishes various MiFID II updates and documents

ESMA provides update on Investor Protection and Intermediary Topics under MiFID II

Do Banks Comply with MiFID II? – Insights from the German Regulator

European Regulator seeks simplifications to format and content of prospectus

ESMA updates on Investor Protection and Commodity Derivatives under MiFID II

International regulator focuses on protection of ageing investors

ESMA provides several updates on investor protection under MiFID II

European regulators publish guidelines on suitability assessment for senior management

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