Investor Protection

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ESMA consults on certain aspects of the MiFID II suitability requirements

The European Securities and Markets Authority (ESMA) has published a Consultation Paper (CP) on draft guidelines on certain aspects of the suitability requirements under the Markets in Financial Instruments Directive (MiFID II). The suitability requirements were introduced under MiFID to enhance investor protection by ensuring that firms which provide investment advice and portfolio management act …

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ESMA updates MiFID II/ MIFIR Investor Protection Q&A

The European Securities and Markets Authority (ESMA) has added 2 new Q&A 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&A cover the topics of recording of telephone conversations and electronic communications, and best execution. …

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ESMA updates MiFID II/ MIFIR Investor Protection Q&A

The European Securities and Markets Authority (ESMA) has added 14 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 ‘information on costs and charges’, ‘post-sale reporting’, and ‘appropriateness’. The …

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ESMA publishes final report on product governance guidelines to safeguard investors

The European Securities and Markets Authority (ESMA) has published today the Final Report on product governance guidelines under the Markets in Financial Instruments Directive II (MiFID II) regarding the target market assessment by manufacturers and distributors of financial products. The requirements on product governance were introduced under MiFID II to enhance investor protection by regulating …

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In a nutshell: The new rules on Complaints Handling under MiFID 2

Complaints Handling is one of the many areas the European legislator focused on to improve Investor Protection across the EU. While the changes in primary legislation are marginal, the devil is in the detail and firms need to make sure they comply if they want to avoid a massive headache coming from those rule changes. …

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ESMA publishes 2017 Supervisory Convergence Work Programme

The European Securities and Markets Authority (ESMA) has published its 2017 Supervisory Convergence Work Programme (SCWP), which details the activities and tasks it will carry out to promote sound, efficient and consistent supervision across the European Union. ESMA and national competent authorities (NCAs) will focus their supervisory convergence work on the following priorities: the implementation …

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ESMA publishes new Q&A on investor protection under MiFID II

The European Securities and Markets Authority (ESMA) has published a Questions and Answers (Q&A) document regarding the implementation of investor protection topics under the Market in Financial Instruments Directive and Regulation (MiFID II/ MiFIR). MiFID II will enter into application on 3 January 2018 and will strengthen the protection of investors by both introducing new …

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International regulator seeks to increase investor protection in case of investment fund termination

IOSCO consults on good practices for the termination of investment funds in an effort to increase investor protection The Board of the International Organization of Securities Commissions (IOSCO) today published a consultation report on Good Practices for the Termination of Investment Funds, which proposes a set of good practices on the voluntary termination process for investment funds. IOSCO …

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ESMA issues warning on sale of speculative products to retail investors

The European Securities and Markets Authority (ESMA) has today issued a warning about the sale of contracts for differences (CFDs), binary options and other speculative products to retail investors who are unaware of the risks associated with these products, and also highlights the regulatory action taken in relation to several Cyprus-based investment firms. The warning …

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UK regulators to review crowdfunding for stronger consumer protection

The legislative framework of crowdfunding in the UK might come under scrutiny soon as a parliamentary committee has asked both the Financial Conduct Authority and the Bank of England for their views on crowdfunding and its risks and opportunities. Andrew Tyrie, chairman of the treasury committee, wrote to Tracey McDermott, the acting chief executive of …

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