Responses
  Closing date : 27 Nov. 2006  
Consultation on The list of minimum records in Article 51(3) of the MiFID implementing Directive

20 Oct. 2006 - MiFID establishes that competent authorities shall draw up and maintain a list of the minimum records investment firms are required to keep. In this regard, CESR is considering, as described in its consultation paper (Ref. CESR/06-552), issuing a recommendation to its members with the content of the list of minimum records that competent authorities need to develop. It is important to note, however, that CESR is not proposing to harmonise the content of the different records in the list. CESR is of the opinion that both investors and industry would benefit from a common approach to the list that the different competent authorities have to establish. This is in line with our objectives of (i) facilitating a consistent and timely day-to-day implementation of the regime, (ii) fostering supervisory convergence, (iii) facilitating the provision of cross-border investment services and activities, and (iv) ensuring a common minimum basis for investor protection. Comments are welcomed by 27 November 2006 and can be submitted on CESR's website (as is the usual practice, under 'consultations').

       
29 Nov. 2006Banking
ABI (Italian Banking Association)
29 Nov. 2006Banking
ABN AMRO Bank
29 Nov. 2006Banking
Association of German Banks
29 Nov. 2006Banking
Banca Intesa
29 Nov. 2006Banking
British Bankers' Association
29 Nov. 2006Banking
BVR
29 Nov. 2006Banking
Division Bank and Insurance of the Austrian Federal Economic Chamber
29 Nov. 2006Banking
ESBG
01 Dec. 2006Banking
European Association of Co-operative Banks
29 Nov. 2006Banking
European Association of Public Banks
29 Nov. 2006Banking
European Banking Federation
29 Nov. 2006Banking
French Banking Federation
23 Jan. 2007Government regulatory & enforcement
The Advisory Committee of the Spanish Securities Commission
13 Dec. 2006Insurance, pension & asset management
AFG
29 Nov. 2006Insurance, pension & asset management
Assogestioni
29 Nov. 2006Insurance, pension & asset management
BVI Bundesverband Investment und Asset Management e.V.
29 Nov. 2006Insurance, pension & asset management
EFAMA
29 Nov. 2006Insurance, pension & asset management
Investment Management Association
29 Nov. 2006Investment services
AFEI (French Association of investment Firms)
29 Nov. 2006Investment services
APCIMS
29 Nov. 2006Investment services
EFFAS
29 Nov. 2006Investment services
HSBC International Financial Advisers (Malta) Ltd
29 Nov. 2006Investment services
Irish Association of Investment Managers
29 Nov. 2006Investment services
LIBA, on behalf of 12 associations
29 Nov. 2006Issuers
ASSOSIM
30 Nov. 2006Issuers
Deutsches Aktieninstitut
29 Nov. 2006Issuers
Institut der Wirtschaftsprüfer in Deutschland e.V.
29 Nov. 2006Legal & Accountancy
Compllex, s.r.o.
29 Nov. 2006Legal & Accountancy
Deutscher Anlegerschutzbund e. V.
29 Nov. 2006Others
Association of Danish Mortgage Banks
29 Nov. 2006Others
Danish Shareholders Association
30 Nov. 2006Others
FOGAIN