Secondary Markets Expert Group – November 2018

Venue: Peel Hunt LLP, Moor House, 120 London Wall, London, EC2Y 5ET

Agenda 14.11.18

Minutes – 12.09.18

Policy Briefing – 30.10.18

Website links:

ESMA Q&As on the following topics:

• Market structures
• Transparency
• Investor protection and intermediaries

ESMA guidelines on certain aspects of MiFID II suitability requirements

London Stock Exchange – AIM Disciplinary Procedures and Appeals Handbook

FCA's Investment Platforms Market Study – Interim Report

Brexit-related draft Statutory Instruments:

• Short Selling
• CSDR
• MiFID II

Brexit-related explanatory notes:

• Short Selling
• CSDR
• MiFID II