Page 31 - 期货和衍生品行业监管动态（2023年6月刊）

期货和衍生品行业监管动态

inclusion of sustainability factors in investment advice and portfolio

management services; and

 collect information, views and data on main trends on aspects related to the

provision of sustainable investment products and services to retail clients.

ESMA has previously updated its Guidelines on suitability and product

governance requirements following the inclusion of sustainability-related requirements

for investment firms into MiFID II.

Next steps

ESMA, together with the National Competent Authorities (NCAs), will assess the

responses to this Call for evidence and continue monitoring the application by firms of

the MiFID II requirements on suitability and product governance, including the related

ESMA Guidelines.

https://www.esma.europa.eu/press-news/esma-news/esma-launches-call-evidence-

sustainability-suitability-and-product-governance

10. 欧盟证券与市场管理局发布处置计划概要和处置协会书面安排的模板指南

（2023 年 6 月 23 日）

欧盟证券与市场管理局（ESMA，欧盟金融市场与证券监管者），发布两份最

终报告，包括在《中央对手方恢复和处置条例》（CCPRRR）下中央对手方（CCPs）

处置制度的指南。该指南是在关于处置计划内容的第 2023/1193 号委员会授权条

例[1]和关于处置协会的第 2023/1192 号授权条例[2]之后发布的。

关于处置协会书面安排的模板指南将协助各成员国监管机构（NCAs）建立

处置协会，并确保建立和审查处置协会协议的有效程序。

关于处置计划概要的模板指南为处置机构提供指导，说明了和中央对手方共

享的概要中应包括的信息类型（以及概要模板）。

下一步

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