Conduct of Business Circulars

MAY 02, 2023
Compensation for the Expropriation of SNS REAAL and SNS Bank’s Securities and Capital Components from the Dutch Ministry of Finance
APRIL 27, 2023
Conduct Related Data Return for Credit Institutions
APRIL 18, 2023
The European Securities and Markets Authority publishes a Final Report on MiFID II Product Governance Guidelines
APRIL 18, 2023
The European Securities and Markets Authority (ESMA) has issued a Supervisory Briefing on Copy-Trading Services, Assessing the Application of the Relevant MiFID II Rules
APRIL 18, 2023
Circular to the Financial Services Industry on the Legal Entity Identifier (‘LEI’) and Data Quality on the Licence Holder (LH) Portal
APRIL 12, 2023
The Nature and Art of Financial Supervision – Investment Services Supervision & Conduct Supervision – Initial Study on Sustainability‐Related Website Disclosures in Terms of the Sustainable Finance Disclosure Regulation
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