Reminder to firms of the MiFID II rules on ‘reverse solicitation’ in the context of the recent end of the UK transition period

ESMA CONSULTS ON SUITABILITY ASSESSMENTS OF DRSP MANAGEMENT BODY MEMBERS

The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, today published a Consultation Paper (CP) on draft Regulatory Technical Standards (RTS) under the Markets in Financial Instruments Regulation (MiFIR) regarding suitability assessments of DRSP management body members. ESMA proposes to introduce requirements covering the following areas: Good repute, honesty and integrity; Sufficient […]

Assessment Report under Article 25(2c) of EMIR

Download PDF Original Article Here

Compliance table – Guidelines on complex debt instruments and structured deposits (ESMA/2015/1787)

Download PDF Original Article Here