ESMA warns that PFOF not compatible with MiFID II rules
MiFID II obligations are aimed at ensuring firms act in their clients’ best interest when executing their orders.
MiFID II obligations are aimed at ensuring firms act in their clients’ best interest when executing their orders.
ESMA has fined DTCC Derivatives Repository Plc (DDRL) a total of €408,000 for seven infringements of EMIR regarding data.
ESMA has approved the registrations of the first two securitisation repositories (SRs) under the Securitisation Regulation (SECR).
ESMA also encouraged other national EU regulators to monitor Turbos in their respective markets to assess similar risks for retail investors.
The European Securities and Markets Authority (ESMA) has published a call for evidence on digital finance.
Natasha Cazenave is currently Deputy Secretary General and Head of the Policy and International Affairs Directorate at the AMF.
Retail clients pay on average around 40% more than institutional investors across asset classes, ESMA finds.
ESMA amends its Q&As to reflect the amendment in MiFID II which excludes Large in Scale transactions from the mandatory tick size regime.
ESMA has fined five entities in the Moody’s Group a total of €3,703,000 for conflicts of interest failures.
Steven Maijoor will join the Governing Board of De Nederlandsche Bank (DNB) on April 1, 2021.