CESR [The Committee of European Securities Regulators]

Review Panel Assessments


	Choose a category

Last update 05/11/2009

Country :

The documents have no legal effect; they do not present any interpretation of, or definitive position on, existing law or regulation in any jurisdiction. These documents are not intended to affect in any way the competences of the European Commission and the European Court of Justice. The documents should not be relied upon for any purpose other than the purpose for which they were prepared. In particular, they should not be relied upon as a substitute for, or as guidance on, any aspect of the regulatory system of any Member State or as a defence in supervisory activities or enforcement proceedings; and they cannot be used to restrict competent authorities in taking regulatory or enforcement actions. (For further context click here)

For further information in relation to the Commission Recommendations 2004/383/EC click here and 2004/384/EC click here)

Standards

Standard No 2 on Financial Information

Principle 1

Key issue 1

Key question 1

Key issue 2

Key question 2

Key question 3a

Key question 3b

Key question 3c

Key issue 3

Key question 4

Key issue 4

Key question 5

Key issue 5

Key question 6a

Key question 6b

Key question 6c

Key issue 6

Key question 7.

Key question 8a

Key question 8b

Key question 8c

Principle 2

Key issue 1

Key question 1

Key issue 2

Key question 2a

Key question 2b

Key question 2c

Key question 2d

Key question 2e

Key question 2f

Key question 2g

Key question 2h

Key question 2i

Key question 3.

Key question 3

Key issue 3a

Key question 4a

Key question 4b

Key question 4c

Key issue 3b

Key question 4d

Key issue 4

Key question 5.

Key issue 5

Key question 6.

Key issue 6

Key question 7.

Key issue 8.

Key question 9.

Key question 10.

Key question 11.

Principle 3

Key issue 1

Key question 1.

Key question 2.

Key question 3.

Key question 4.

Principle 4

Key issue 1

Key question 1.

Key question 2a

Key question 2b

Key question 2c

Key question 2d

Key question 2e

Key question 2f

Key question 2g

Key question 2h

Key question 2i

Key issue 2

Key question 3.

Key question 4.

Key issue 3

Key question 5.

Key question 6.

Standard No 1 on Financial Information

Definition of Enforcement

Principle 1

Principle 2

Enforcers

Principle 3

Principle 4

Principle 5

Principle 6

Principle 7

Principle 8

Issuers and Documents

Principle 9

Principle 10

Methods of Enforcement

Principle 11

Principle 12

Principle 13

Principle 14

Principle 15

Actions

Principle 16

Principle 17

Principle 18

Principle 19

Coordination in Enforcement

Principle 20

Reporting

Principle 21

Standards for Investor Protection - Cold Calling

Standard 18

Rule 19

Rule 20

Rule 21

Rule 22

Rule 23

Guidelines

UCITS Transitional Guidelines

Question 1

Question 2

Question 3

Question 4

Question 5

Question 6

Question 7

Question 8

Guidelines to simplify the notification procedure of UCITS

Guideline 1

Key issue 1

Question 1.a)

Question 1.b)

Key issue 2

Question 2.a)

Question 2.b)

Key issue 3

Question 3.a)

Question 3.b)

Question 3.c)

Question 3.d)

Guideline 2

Key issue 1

Question 1

Key issue 2

Question 2

Key issue 3

Question 3

Guideline 3

Key issue 1

Question 1

Key issue 2

Question 2

Key issue 3

Question 3.a)

Question 3.b)

Guideline 4

Key issue 1

Question 1

Key issue 2

Question 2.a)

Question 2.b)

Question 2.c)

Key issue 3

Question 3.a)

Question 3.b)

Question 3.c)

Key issue 4

Question 4.a)

Question 4.b)

Guidelines 5

Key issue 1

None Question 1

Key issue 2

None question 2

Key issue 3

None Question 3

Guidelines 6

Key issue 1

None Question 1.a)

None Question 1.b)

Key issue 2

None Question 2.a)

None Question 2.b)

Key issue 3

None Question 3

Key issue 4

None Question 4

Guidelines 7

Key issue 1

None Question 1

Key issue 2

None Question 2

Key issue 3

None Question 3

Guidelines 8

Key issue 1

None Question 1

Key issue 2

None Question 2

Key issue 3

Key issue 4

None Question 4.a)

None Question 4.b)

Guidelines 9

Key issue 1

None Question 1

Guidelines 10

Recommendations

Question

Key issue