Page 51 - 期货和衍生品行业监管动态（2022年12月）

期货和衍生品行业监管动态

2022 年 3 月 10 日，ESMA 发布了一份关于投资公司跨境活动监管的同行审

查报告。在报告中，ESMA 认为母国监管机构有必要大幅改善其在投资公司面向

零售客户的跨境活动有关的批准、持续监管和执法工作中的监管方法。这包括根
据这些公司跨境活动的性质、规模和复杂性及其所造成的风险来调整监管工作。

下一步

这份简报与 ESMA 在其同行审查报告中提出的建议相一致，将有助于促进

欧盟的监管统一。

ESMA Provides Guidance for Supervision of Cross-border Activities of

Investment Firms (2022/12/14)

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

markets regulator and supervisor, today publishes a Supervisory Briefing to ensure

convergence across the European Union (EU) in the supervision of the cross-border
activities of investment firms.

The free provision of services in the EU rests on the supervision of the home

NCA and on the cooperation between home and host supervisors. To this end, this

briefing covers the following areas:

 authorisation of firms with cross-border plans;

 processing of passport notifications and their impact on the supervisory

approach applied to firms;

 arrangements in place to carry out ongoing supervisory activities;

 carrying out of ongoing supervision; and

 carrying out of investigations and inspections.

Background

Given the importance of the provision of investment services across the EU

under MiFID II, and concerns that emerged in the past on instances of cross-border

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