Structured Products

Market Making, Leveraged Products and Investor Protection– Finance for Compliance Professionals

Last week, the German financial regulator BaFin, felt compelled to publish a notice on investor protection with regard to Market Making with a focus on derivatives and structured products. The increasing number of complaints the financial watchdog had received from investors in particular in respect of leveraged products such as Contracts for difference (CFDs), Forex …

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ESMA publishes updated Q&A on CFDs and other speculative products

The European Securities and Markets Authority (ESMA) has published today an updated version of its question and answer document (Q&A) on the application of the Markets in Financial Instruments Directive (MiFID) to the marketing and sale of financial contracts for difference (CFDs) and other speculative products to retail clients (such as binary options and rolling …

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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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ESMA advises on marketing and sale of CFDs and other speculative products to retail clients under MiFID

The European Securities and Markets Authority (ESMA) has published today an updated version of its question and answer document (Q&A) on the application of the Markets in Financial Instruments Directive (MiFID) to the marketing and sale of financial contracts for difference (CFDs) and other speculative products to retail clients (such as binary options and rolling …

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FCA consults on disclosure rules under PRIIPs Regulation

Today the FCA published consultation paper CP16/18: Changes to disclosure rules in the FCA Handbook to reflect the direct application of the PRIIPs Regulation. On 31 December 2016 the Packaged Retail and Insurance-based Investment Products (PRIIPs) Regulation takes effect in the European Union (EU). The PRIIPs Regulation will require firms to prepare, publish and provide …

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ESMA publishes Q&A on CFDs and other speculative products

The European Securities and Markets Authority (ESMA) has published today an updated version of its question and answer document (Q&A) on the application of the Markets in Financial Instruments Directive (MiFID) to the marketing and sale of financial contracts for difference (CFDs) and other speculative products to retail clients (such as binary options and rolling …

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ESMA updates on problems of Structured Finance Instruments reporting

ESMA has today provided an update on reporting structured finance instruments information under the CRA Regulation. The CRA Regulation requires issuers, originators and sponsor entities to report information in respect of Structured Finance Instruments (SFI) to ESMA. ESMA is responsible under Article 8b of the CRA Regulation for setting up a website where information on …

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ESMA publishes new Q&A on CFDs and other speculative products

The European Securities and Markets Authority (ESMA) has published today a new question and answer document (Q&A) on the application of the Markets in Financial Instruments Directive (MiFID) to the marketing and sale of financial contracts for difference (CFDs) and other speculative products to retail clients (such as binary options and rolling spot forex). These …

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ESMA publishes translations of its Guidelines on complex debt instruments and structured deposits

The European Securities and Markets Authority (ESMA) has published translations of its Guidelines on complex debt instruments and structured deposits. The purpose of these Guidelines is to ensure a common, uniform and consistent application of these definitions, in particular to specify the criteria for the assessment of (i) debt instruments incorporating a structure which makes …

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