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ESMA launches a Common Supervisory Action with NCAs on UCITS liquidity risk management
The UCITS regulatory framework includes a broad range of liquidity risk management provisions which aim at ensuring that UCITS investors are able to redeem their investments on request. Compliance with the UCITS liquidity risk management rules contributes to ensuring financial stability, investor protection and the orderly functioning of financial markets. In support of this […]
ESMA publishes latest updates to MiFIDII/MiFIR investor protection Q&As
The new Q&As cover the topics of client categorisation, post-sale reporting, recording of telephone conversations and electronic communications, best execution, and information on costs and charges. 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 […]