Regulatory Alerts2021-02-17
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Common Supervisory Action in relation to MiFID II Product Governance Rules
Focused on-site inspections are currently being conducted at investment firms to assess the application of product governance rules adopted by the selected firms. This activity forms part of a Common Supervisory Action ESMA is launching with national competent authorities on the application of MiFID II Product Governance Rules across the European Union to assess progress made by manufacturers and distributors of financial products. The circular is addressed to Investment Firms and Credit Institutions when providing investment services activities.
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