Conduct of Business Circulars

OCTOBER 19, 2023
ESMA Publishes its Common Supervisory Action (CSA) for 2024
OCTOBER 19, 2023
Conduct of Business Rulebook Revisions
OCTOBER 16, 2023
Circular on the Benchmarks Regulation (‘BMR’) – Update to the Information Gathered relating to the Use of Benchmarks
OCTOBER 04, 2023
Circular on Thematic Review in relation to Statement of Fees and Fee Information Documents
SEPTEMBER 25, 2023
ESMA Publishes the Main Findings from the Common Supervisory Action (CSA) for the year 2022 and the Mystery Shopping Exercise on Information on Costs and Charges Emanating from MiFID II Requirements
AUGUST 16, 2023
The Portuguese Securities Market Commission (the “CMVM”) issues a Circular Note to Financial Intermediaries on Advertising, to Increase the Transparency Level and Investor Protection
AUGUST 16, 2023
ESMA issues Opinion on CNMV Product Intervention Measures
JULY 28, 2023
The European Securities and Markets Authority (ESMA) Updates Its Guidance on the Definition of Advice in a Supervisory Briefing
JUNE 22, 2023
ESMA Launches a Call for Evidence on Sustainability in Suitability and Product Governance
MAY 25, 2023
Circular on Amendments to references to the Conduct of Business Rulebook as laid down in Annexes to Chapter 9 of the Insurance Rules and Annexes to Chapter 16 of the Insurance Distribution Rules