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ESMA opinion on structured retail products—good practices for product governance arrangements

European Union - May 22 2014 ESMA's 27 March 2014 opinion on good practices for product governance arrangements For structured retail products focuses on investment firms that…

George M. Williams, Jr., Ingrid Kalisch, Sandra Pfister, Hartmut T. Renz.

MiFID II / MiFIR geht in die nächste Runde: Die ESMA veröffentlicht konkrete Vorschläge für technische Regulierungs- und Durchführungsstandards und stellt diese zur Konsultation

European Union - January 22 2015 Die Europäische Wertpapier- und Marktaufsichtsbehörde ESMA (European Securities and Market Authority) hat am 19. Dezember 2014 konkrete Vorschläge…

Melanie Frankenberger, George M. Williams, Jr., Ingrid Kalisch, Sandra Pfister, Hartmut T. Renz.

Guidelines on product oversight and governance arrangements for retail banking products

USA - November 18 2014 The EBA published a consultation paper on 10 November 2014 recommending good practice guidelines for both manufacturers and distributors of retail…

George M. Williams, Jr., Ingrid Kalisch, Sandra Pfister, Hartmut T. Renz.

EU risk retention requirements revised

European Union, USA - January 15 2014 On December 17, 2013 the European Banking Authority (EBA) issued its final draft of new rules relating to the retention by sponsors, originators and…

George M. Williams, Jr..

Compliance alert: 2015 work program of the ESAs

European Union - November 10 2014 The Joint Committee of the European Supervisory Authorities (EBA, ESMA and EIOPA) has published its working program for the upcoming year. Throughout…

George M. Williams, Jr., Ingrid Kalisch, Sandra Pfister, Hartmut T. Renz.