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Keywords: European Securities and Markets Authority (ESMA)
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Journal Articles
ESMA issues Brexit opinions to EU regulators: a warning shot not only to the UK but also to the EU27
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2017) 18 (4): 50–52.
Published: 06 November 2017
...William Yonge; Simon Currie Purpose To summarize and analyse four opinions issued in May and July 2017 by the European Securities and Markets Authority (“ESMA”) concerning regulatory and supervisory arbitrage risks that arise as a result of increased requests from financial market participants...
Journal Articles
ESMA opinion on structured retail products – good practices for product governance arrangements
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2014) 15 (4): 19–24.
Published: 28 October 2014
... to develop and document such an understanding, manufacturers should backtest the SRP and simulate various scenarios to assess whether the outcomes of the SRP would likely meet the investment objectives of the target market. © Authors 2014 European Securities and Markets Authority (ESMA) Markets...
