Press Release: Financial services: Commission sets out its equivalence policy with non-EU countries

The European Commission is today taking stock of its overall approach to equivalence in the area of financial services. EU equivalence has become a significant tool in recent years, fostering integration of global financial markets and cooperation with third-country authorities. The EU assesses the overall policy context and to what extent the regulatory regimes of a given third country achieves the same outcomes as its own rules. A positive equivalence decision, which is a unilateral measure by the Commission, allows EU authorities to rely on third-country rules and supervision, allowing market participants from third countries who are active in the EU to comply with only one set of rules. Today’s Communication also sets out how recent updates to EU legislation will ensure even greater effectiveness of the EU single rulebook, supervision and monitoring, while also fostering cross-border business in global markets. The Commission has to date taken over 280 equivalence decisions with regard to over 30 countries. 

Call for Evidence: Impact of the inducements and costs and charges disclosure requirements under MiFID II test

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Consultation: Guidelines on certain aspects of the MiFID II compliance function requirements test

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Press Release: ESMA warns CFDs providers on application of product intervention measures test

The European Securities and Markets Authority (ESMA), the EU’s securities markets’ regulator, has today published a statement addressed to providers marketing, distributing or selling contracts for differences (CFDs) to retail clients. The statement is in response to various practices and situations observed in the market, which raise concerns of non-compliance with the legal requirements applicable when providing services to retail clients.

Official Journal (L Series): Directive (EU) 2019/1160 of the European Parliament and of the Council of 20 June 2019 amending Directives 2009/65/EC and 2011/61/EU with regard to cross-border distribution of collective investment undertakings

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Press Release: ESMA issues opinions on product intervention measures by Sweden, France and the United Kingdom

The European Securities and Markets Authority (ESMA) has today issued three opinions on product intervention measures taken by the National Competent Authorities (NCAs) of Sweden, France and the United Kingdom. ESMA’s opinion finds that the proposed measures are justified and proportionate and that it is necessary for NCAs of other Member States to take product intervention measures that are at least as stringent as ESMA’s measures. 

Press Release: ESMA Issues Opinions on Product Intervention Measures by Cyprus, France, Malta and Sweden

The European Securities and Markets Authority (ESMA) has today issued four positive opinions on product intervention measures taken by the National Competent Authorities (NCAs) of Cyprus, France, Malta and Sweden. ESMA’s opinion finds that the proposed measures are justified and proportionate and that it is necessary for NCAs of other Member States to take product intervention measures that are at least as stringent as ESMA’s measures. 

Press Release: ESMA Issues Opinions on Product Intervention Measures by Germany, Spain, Bulgaria, Denmark, Latvia and Greece

The European Securities and Markets Authority (ESMA) has today issued eight positive opinions on product intervention measures taken by the National Competent Authorities (NCAs) of Germany, Spain, Bulgaria, Denmark, Latvia and Greece. ESMA’s opinion finds that the proposed measures are justified and proportionate and that it is necessary for NCAs of other Member States to take product intervention measures that are at least as stringent as ESMA’s measures. 

UPDATED – Regulation of the European Parliament and of the Council on facilitating cross-border distribution of collective investment undertakings and amending Regulations (EU) No 345/2013, (EU) No 346/2013 and (EU) No 1286/2014

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Press Release: ESMA Issues Positive Opinions on Product Intervention Measures by Ireland, Italy, Luxembourg and Portugal

The European Securities and Markets Authority (ESMA) has today issued eight positive opinions on product intervention measures taken by the National Competent Authorities (NCAs) of Italy, Portugal, Ireland and Luxembourg. ESMA’s opinion finds that the proposed measures are justified and proportionate and that it is necessary for NCAs of other Member States to take product intervention measures that are at least as stringent as ESMA’s measures.

Press Release: ESMA issues positive opinions on product intervention measures

The European Securities and Markets Authority (ESMA) has today issued eight positive opinions on product intervention measures taken by the National Competent Authorities (NCAs) of Italy, Portugal, Ireland and Luxembourg. ESMA’s opinion finds that the proposed measures are justified and proportionate and that it is necessary for NCAs of other Member States to take product intervention measures that are at least as stringent as ESMA’s measures.

Press Release: ESMA Issues an Additional Five Positive Opinions on National Product Intervention Measures

The European Securities and Markets Authority (ESMA) has today issued five positive opinions on product intervention measures taken by the National Competent Authorities (NCAs) of the Czech Republic, Estonia and Slovakia. ESMA’s opinion finds that the proposed measures are justified and proportionate and that it is necessary for NCAs of other Member States to take product intervention measures that are at least as stringent as ESMA’s measures.

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