Contacts on MiFID, 2011-2012

Georgios Vassalos made this Informationsfreiheit request to Financial Stability, Financial Services and Capital Markets Union

This request has been closed to new correspondence from the public body. Contact us if you think it ought be re-opened.

Ihre Anfrage war teilweise erfolgreich.

Georgios Vassalos

Dear madams and sirs in DG FISMA,

I would hereby like to ask all correspondance (including emails) and meeting records involving:

- Jörgen Holmquist, director general of DG MARKT (2009-2010)
- David Wright, deputy director general of DG MARKT (2009-2010)
- Jonathan Faul, director general of DG MARKT and DG FISMA (2010-2015)
- Nadia Calviño Deputy Director General of DG MARKT (2010-2014)

- Emil Paulis, Director G (2009-2014)
- Martin Merlin, responsible of relation with Council (2011-2012) Director G and C (2012-2016)
- Ugo Bassi, Director C

and Industry, Associations, Trade Unions and Academics on all issues concerning MiFID/MiFIR II between November 2011 and October 2012.

My request includes all electronic and paper correspondance with interest groups (trying to represent private and special interests or the pubic interest) and reports or minutes of meetings with them.

I'm interested in all non-governemental stakeholders that interacted with the fore mentioned Commission officials on MiFID/MiFIR II. I mention some as examples, but my request is not limited to them: trade associations such as AFME, EFAMA, ICMA, FESE, FIA Europe, FIA-EPTA, ISDA, FOA, EACH, ECSDA, Invest Europe, EFET, FEFAC, EuropeanIssuers and their members (companies be it banks or other financial or non-financial corporations), as well as their extra-EU counterparts. Financial industry companies such as LSEG and Chi-X or Reuters and Bloomberg. Accounting and consulting firms such PWC, Deloitte, EY etc. Pubic affairs consultancies and law firms representing stakeholders. SMEs' trade associations. Trade unions such as Uni-Europa, Nordic financial unions or any other unions that had contacts with these officials on MiFID/R II. Retail investor associations such as Better Finance or others including national ones. NGOs such as Finance Watch, Oxfam, Global Justice, SOMO, WEED etc. Any academics that might have exchanged ideas on MiFID issues with the fore mentioned Commission officials.

I would like to include in my request all subject matters of MiFID/MiFIR II. I mention some as examples, without my request being limited to them: market structure rules (on RMs, MTFs, OTFs, SIs and OTC trading), scope of the trading obligation on oragnised venues, transparency waivers, market data publication and consolidated tape, rules on HFT, rules on commodity derivatives, investors' protection and third coutries regime.

Yours faithfully,
Georgios Vassalos

Financial Stability, Financial Services and Capital Markets Union

Dear Sir,

Thank you for your request for access to documents.

Unfortunately you have not indicated your postal address that is required for registering and handling your request in line with the procedural requirements. Please send us your full postal address at your earliest convenience.

Pending your reply, we reserve the right to refuse the registration of your request.

You may, of course, use directly the electronic form for entering your request:

[1]http://ec.europa.eu/transparency/regdoc/...

Best regards,

Carlos Remis
SG.B.4
Transparence
Berl. 05/315

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Georgios Vassalos

Dear Financial Stability, Financial Services and Capital Markets Union,

I just sent you again my postal address which you have from previous requests by email.

Thanks for registering my request.

Yours faithfully,

Georgios Vassalos

Georgios Vassalos hat eine Nachricht hinterlassen ()

On 1/18/2018 12:32 PM, Sg-Acc-Doc@ec.europa.eu wrote:
>
> Dear Sir,
>
>
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> Thank you for your e-mail dated 18/01/2018. We hereby acknowledge receipt of your application for access to documents, which was registered on 18/01/2018 under reference number GestDem 2018/402.
>
>
>
> In accordance with Regulation (EC) No 1049/2001 regarding public access to European Parliament, Council and Commission documents, your application will be handled within 15 working days. The time limit will expire on 08/02/2018.
>
>
>
> In case this time limit needs to be extended, you will be informed in due course.
>
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> Yours faithfully,
>
>
>
> Carlos Remis
>
> SG.B.4
>
> Transparence
>
> Berl. 05/315

Financial Stability, Financial Services and Capital Markets Union

Dear Mr Vassalos,

As for your previous request with reference Gestdem 2017/4398, the current request means a considerable amount of work, due the number of documents referred to in the request and their volume, but also on their nature and the diversity of the tasks required to find these documents. The process does not only include searching, extracting, printing and sending documents from a database, but also requires an in-depth analysis of the documents, consultation of third parties, redaction of personal data and finally the elaboration of a draft answer.

The workload led by dealing with your request is disproportionate, as compared with the objectives of the application, and will substantially impair the activities of unit C3, which is a small unit with a huge amount of legislative work. Due to this everyday heavy workload, we are not in a position to assign colleagues to deal full time with your request for several months, which would have a negative impact on the operational performance of our Unit.

Hence, we kindly invite you to agree on an extension of the time limit to handle your application, i.e. until 23 April 2018.

Thank you in advance for your understanding.

Yours sincerely,

European Commission
DG Financial Stability, Financial Services and Capital Markets Union
FISMA C3

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Georgios Vassalos

Dear Financial Stability, Financial Services and Capital Markets Union,

You managed to handle my previous request Gestdem 2017/4398 covering a period of 2 years and a half in two months and nine days (from October 12 to December 21) . So, it should be possible to handle this request covering a period of one year only in two months time which is before the end of March.

What do you think?

Yours faithfully,
Georgios Vassalos

EC ARES NOREPLY,

[1]Ares(2018)516036 - RE: Access to documents request ref 2018-402 -
Contacts on MiFID, 2011-2012 - extension of deadline

Sent by ve_fisma.c.3 (FISMA) <[email address]>. All responses have
to be sent to this email address.
Envoyé par ve_fisma.c.3 (FISMA) <[email address]>. Toutes les
réponses doivent être effectuées à cette adresse électronique.

Dear Sir,

We will do our very best to send you a reply by the end of March.

Thank you for your understanding.

With kind regards,

European Commission
DG Financial Stability, Financial Services and Capital Markets Union
FISMA C3

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Georgios Vassalos

Dear EC ARES NOREPLY,

Thank you, too.

Yours sincerely,

Georgios Vassalos

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Georgios Vassalos

Dear Financial Stability, Financial Services and Capital Markets Union,

On January 2018 you wrote you will do your best to reply to my request by end of March 2018.

Can you please send me your reply in the following days?

Yours faithfully,

Georgios Vassalos

Financial Stability, Financial Services and Capital Markets Union

5 Attachments

Dear Mr Vassalos,

 

Please find attached the reply to your request for access to documents
pursuant to Regulation (EC) N° 1049/2001 regarding public access to
European Parliament, Council and Commission documents with ref. GestDem
2018/0402.

 

This letter is sent by email and also by registered mail requesting
acknowledgment of receipt (however, without annexes).

 

Yours sincerely,

 

European Commission

DG Financial Stability, Financial Services and Capital Markets Union

FISMA C3 – Securities markets