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ESMA Opinion on Structured Retail Products—Good Practices for Product Governance Arrangeme…

May 23, 2014

Summary: ESMA’s 27 March 2014 opinion on good practices for product governance arrangements for structured retail products focuses on investment firms that manufacture and distribute retail products. The practices recommended by ESMA relate to:

• The complexity of the relevant structured retail products;

• The nature and range of the investment services and activities undertaken; and

• The types of investors for whom certain products may be suitable.

ESMA expects national competent authorities to embed these good practices in their supervisory approaches to structured retail products providers.

Also of Interest


Stuart Axford
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George M. Williams jr
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Download: Compliance Alert (pdf 293999 bytes)