ESMA tells EU brokers to crack down on sales practices to retail investors LeapRate

February 07, 2014 BY Gerald Segal

ESMA tells EU brokers to crack down on sales practices to retail investors

ESMA particularly notes selling practices of complex financial products to retail clients. ESMA is continuing to throw its weight around, and establish itself as a to-be-taken-seriously pan-European rule setter in financial markets. What exactly is ESMA's role? While not technically a regulator -- each EU country has its own financial regulator (e.g. FCA in the UK,…

January 22, 2014 BY Gerald Segal

ESMA cements its powers, as EU court defeats UK appeal against new short selling rule

ESMA already introduced severe restrictions on short selling, such as banning Naked Shorts European bureaucrats have scored a decisive victory over the UK’s challenge of financial laws today. The European Court of Justice has released a ruling against limiting the powers of the European Securities and Markets Authority (ESMA) to restrict short selling of certain…

December 07, 2011 BY Gerald Segal

ESMA's warning against unregulated Forex firms – why now?

EU's new financial regulator clearly gearing up to tackle Forex issues.

February 06, 2012 BY Gerald Segal

Fight over ESMA continues in the EU

CFTCLaw.com reports problems in defining ESMA's role.

Tag: ESMA powers