Related Articles
ESMA warns CFDs providers on application of product intervention measures
ESMA still has serious concerns about firms’ marketing, distribution or sale of CFDs to retail clients and considers it necessary to remind CFD providers about some of the requirements connected with the offering of CFDs. ESMA has identified undesirable practices related to: Professional clients on request; and Marketing, distribution or sale by third-country CFD-Providers. Steven […]
Call for evidence periodic auctions for equity instruments
Download PDF Original Article Here
ESMA publishes MiFID II Supervisory Briefing on Appropriateness and Execution-only
This supervisory briefing is an updated version of ESMA’s 2012 supervisory briefing on the same topic and takes into account the new version of ESMA’s guidelines on suitability published on 28 May 2018 with respect to aspects also relevant to the appropriateness rules. This supervisory briefing covers the following topics: Determining situations where the appropriateness […]