Conduct of Business Circulars

JANUARY 17, 2023
The European Securities and Markets Authority (ESMA) Issues a Notification Statement Covering the Launch of the 2023 Common Supervisory Action (CSA) on the Application of MiFID II Disclosure Rules with Regards to Marketing Communications
DECEMBER 21, 2022
Revisions to the List of Financial Instruments
DECEMBER 21, 2022
ESMA Supervisory Briefing on Supervision of Cross-Border Activities of Investment Firms
DECEMBER 21, 2022
The European Securities and Markets Authority (“ESMA”) issues a Public Statement regarding the Best Execution Reporting Obligation by Venues
OCTOBER 18, 2022
EIOPA Calls for Better Value for Money in Bancassurance in Warning to Banks and Insurers
OCTOBER 07, 2022
Circular addressed to Authorised Persons Entrusted with the Payment of Application Fees, Supervisory Fees, or Penalties
OCTOBER 06, 2022
ESMA Final Report on Guidelines on MiFID II Suitability Requirements
OCTOBER 03, 2022
ESMA issues a Public Statement on the Impact of Inflation in the Context of Investment Services to Retail Clients
SEPTEMBER 30, 2022
Revisions to the MiFID Firms Quarterly Reporting
JULY 29, 2022
Conduct of Business Rulebook Revisions