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ESMA publishes update to MiFID II Q&As on investor protection and intermediaries topics
The overall MiFID II Q&A provide clarifications on the following topics: Best execution Suitability and appropriateness Recording of telephone conversations and electronic communications Post-sale reporting Record keeping Investment advice on an independent basis Inducements (research) Information on charges and costs Underwriting and placement of a financial instrument Client categorisation Inducements Provision of investment services and […]
Commission decision on classification in grade and step for TAs
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ESMA sees 1.9% increase in prospectus approvals across the EEA
The European Securities and Markets Authority (ESMA), in its annual report on prospectus activity, has found that in 2017 the number of prospectus approvals across the European Economic Area (EEA) increased by around 1.9% compared to 2016 (from 3499 to 3567). The growth in prospectus approvals puts an end to a decade-long decline observed since […]