Published: 17th May 2018

Of relevance to: All financial service providers authorised within the EU

Investors seeking information on whether a financial service provider is authorised within the European Union (“EU”) will now be able to do so on the new companies’ portal provided by the European Securities and Markets Authority (“ESMA”).

The ESMA portal provides investors with a one-stop-shop register, including information for:

  • MiFID investment firms including Systematic Internalisers;
  • MiFID trading venues;
  • MiFID data reporting service providers;
  • UCITS management companies; and
  • AIFMD fund managers including funds managed/marketed in the EU.

The ESMA portal also provides reference to sanctions applied by the competent authorities in the Member States under several European legislations.

The ESMA Registers system offers machine-to-machine services, including certain queries accessible via predefined URLs. These can be used to retrieve public data maintained in the Registers’ repositories. Examples of these predefined queries are lists of:

  • Investment firms and activities;
  • AIFMs and their managed and/or marketed fund(s);
  • UCITS Management Companies;
  • Regulated Markets;
  • Approved Prospectuses;
  • European Social Entrepreneurship Fund managers and their managed funds; and
  • European Venture Capital Fund managers and their managed funds.

We await clarification as to how this will operate in relation to UK operations after the Brexit transitional period ends on 31 December 2020.

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