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Compliance alert: ESMA’s 2015 Work Program

European Union - November 6 2014 ESMA has three strategic objectives—investor protection, financial stability and market functionality—that are achieved through four…

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

EBA finalizes guidelines on significant credit risk transfer

European Union - July 11 2014 On 7 July 2014, the European Banking Authority (EBA) issued its final "Guidelines on Significant Credit Risk Transfer relating to Articles 243 and…

Lawton M. Camp, Karsten Giesecke, George M. Williams, Jr., Ingrid Kalisch, Hartmut T. Renz.

ESMA and EBA harmonize Guidelines for handling consumer complaints across the EU

European Union - July 1 2014 The European Securities and Markets Authority (ESMA) and the European Banking Authority (EBA) have published their joint committee final report on…

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

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.

ESMA issues new opinion on complex product sales practice

European Union - March 5 2014 ESMA's recently published opinion on MiFID practices for firms selling complex products focuses on ensuring that firms take appropriate measures to…

George M. Williams, Jr., Hartmut T. Renz.