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Customers, culture and behaviours

Customers, culture and behaviours

Regulatory priorities on culture and conduct issues tend to change according to prevailing political and social concerns. These currently center on acting fairly towards customers in general, and regarding incentives and remuneration in particular. There also remains a strong focus on how firms govern their business operations.


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June - European Commission’s draft rules for fund assets raise concerns

23 February - General Data Protection Regulation

22 February - Further uncertainty for European Money Market Funds


Jan 23 - Agreement on a meaningful product disclosure document remains elusive

Jan 23 - Regulatory response to automated advice tools still under discussion

Dec 15 - Fund costs and charges come under increased scrutiny

Oct 13 - How to identify a product’s target market?

Oct 13 - IOSCO continues to focus on good practice for Investment Funds

Oct 13 - ESMA consults on asset segregation practice by fund depositaries

Jul 18 - Next level of detail on the Insurastrnce Diibution Directive (IDD)

Jul 18 - European Commission proposes improvements for Venture Capital funds

Jun 21 - Tackling national barriers to cross border distribution of investment funds

May 26 - MiFID II reaches critical stage

Apr 25 - ESMA proposes a principles-based framework for UCITS share classes

Apr 25 - Fund managers’ remuneration: Navigating multiple rules

Apr 25 - ESAs submit final wide-ranging PRIIP KID rules

Apr 25 - iMFID moves forward

Apr 22 - ESMA consults on draft guidelines for commodity and spot markets under MAR

Apr 22 - Preparing for MAR and MiFID II: Capitalising on the Synergies

Mar 23 - MiFID II and IID: Identifying the target market for a product

Mar 23 - Capital Markets Union: Retail financial services under the spotlight

Feb 29 - ESMA releases findings on ‘closet’ index tracking funds

Feb 29 - Ongoing attempts to harmonize the regulation of cross-selling practices

Feb 29 - ESMA continues to review third countries

Apr 28 - Major reduction in scope of ESA guidelines on cross-selling practices

Jan 31 - MiFID II/MiFIR: state-of-play


Dec 18 - The ESAs consult for the final time on the rules for the PRIIP KID

Nov 5 - Approaching the crossroads of conduct and culture

Nov 27 - MiFID – The clock is still ticking

Jul 28 - Fees and expenses for investment funds

Jul 28 - ESMA’s final MiFID II/MiFIR Technical Standards

Jun 22 - Raising Market Standards

Mar 25 - MiFID: a new approach required to product governance, for all types of firms

Feb 27 - MiFID: which products are 'complex' and why does it matter?

Feb 27 - MiFID II / MiFIR: prepare now for the new transaction reporting requirements

Jan 20 - MiFID: Disclosure of Costs and Charges

Jan 20 - MiFID 2: New rules on inducements

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