Page 40 - 期货和衍生品行业监管动态（2022年11月）

期货和衍生品行业监管动态

然而，投资公司跨境活动的增加要求 NCAs 应更加重视对跨境活动的监管和

合作。跨境活动的发展如未强化监管，可能会导致削弱投资者对市场的信心以及

对单一市场的实现产生反作用。

下一步

征求意见期将于 2023 年 2 月 17 日结束。ESMA 将在 2023 年第二季度考虑

其收到的反馈，并预计在 2023 年底前发布最终报告。

ESMA Consults on Rules for Passporting for Investment Firms (2022/11/17)

The European Securities and Markets Authority (ESMA), the EU’s financial

markets regulator and supervisor, is seeking input on the review of the technical

standards under Article 34 of the Markets in Financial Instruments Directive (MiFID

II), covering the provision of investment services across the EU.

The main amendments proposed add the following items to the information that

investment firms are required to provide at the passporting stage:

 the marketing means the firm will use in host Member States;

 the language(s) for which the investment firm has the necessary

arrangements to deal with complaints from clients from each of the host Member

States in which it provides services;

 in which Member States the firm will actively use its passport as well as

the categories of clients targeted; and

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 the investment firm’ internal organisation in relation to the cross-border
activities of the firm.

The cross-border provision of investment services is a key element of the single

market of financial services as it fosters competition and expands the offer available
to consumers who can choose among a broader number of firms and investment

opportunities.

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