Contacts on MiFID, 2012-2014

Georgios Vassalos made this access to documents 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.

The request was partially successful.

Georgios Vassalos

Dear madams and sirs in DG FISMA,

Under the right of access to documents in the EU treaties, as developed in Regulation 1049/2001, I would hereby like to ask all correspondance (including emails) and meeting records involving:

- Jonathan Faul, Director General of DG MARKT and DG FISMA (2010-2015)
- Olivier Guersent, Head of Commissioner's Barnier cabinet (2010-2014)
- Nadia Calviño Deputy Director General of DG MARKT (2010-2014)

- Emil Paulis, Director G (2009-2013)
- Martin Merlin, Director G and C (2013-2016)
- Ugo Bassi, Head of Unit G3 up to 2012 then Director F (2012-2016)

- Miguel de la Mano, Head of Unit G1
- Partick Pearson, Head of Unit G2
- Maria Teresa Fabregas Fernandez, Deputy and then Head of Unit G3
- Tim Lueder, Head of Unit G4

- Philip Tod, deputy head of unit G3

and Industry, Associations, Trade Unions and Academics on all issues concerning MiFID/MiFIR II between November 2012 and May 2014.

Since my request means a considerable amount of work from you side, I accept an extension of the deadline up to June 11.

As in my previous requests:

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

1 Attachment

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,

 

 

ACCESS TO DOCUMENTS TEAM (GD)

 

[2]cid:image001.png@01D3BD42.20769590

European Commission

Secretariat-General

SG B.4 – Transparency

[3][email address]

 

 

 

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Georgios Vassalos

Dear Financial Stability, Financial Services and Capital Markets Union,

I sent it be email just like in my previous request both to DG FISMA and the Sec Gen

Yours faithfully,

Georgios Vassalos

EC ARES NOREPLY,

1 Attachment

Link: [1]File-List
Link: [2]Edit-Time-Data
Link: [3]themeData
Link: [4]colorSchemeMapping

[5]Ares(2018)1953892 - Your initial request for access to documents -
VASSALOS - Gestdem 2018/2075 - Contacts on MiFID, 2012-2014

Sent by ve_sg.accessdoc (SG) <[DG FISMA request email]>. All responses have
to be sent to this email address.
Envoyé par ve_sg.accessdoc (SG) <[DG FISMA request email]>. Toutes les
réponses doivent être effectuées à cette adresse électronique.

Dear Sir,

 

Thank you for your e-mail dated 11/04/2018.  We hereby acknowledge receipt
of your application for access to documents, which was registered on
12/04/2018 under reference number GestDem 2018/2075.

 

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
04/05/2018. In case this time limit needs to be extended, you will be
informed in due course.

 

You have lodged your application via the AsktheEU.org website. Please note
that this is a private website which has no link with any institution of
the European Union. Therefore the European Commission cannot be held
accountable for any technical issues or problems linked to the use of this
system.

 

Please note also that the European Commission is not responsible for any
possible processing of personal data by the private organisation running
the AsktheEU.org website, through which you have channelled your request.
Please refer to their privacy policy.

 

Yours faithfully,

 

 

ACCESS TO DOCUMENTS TEAM (GD)

 

[6]cid:image001.png@01D3BD42.20769590

European Commission

Secretariat-General

SG B.4 – Transparency

[7][email address]

 

 

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Georgios Vassalos

Dear Financial Stability, Financial Services and Capital Markets Union,

Thank you for registering my request.

Since it is impossible to handle it within 15 working days, please reply me asap whether a June 11 deadline would give you enough time to do it.

Yours faithfully,

Georgios Vassalos

Georgios Vassalos

Dear Financial Stability, Financial Services and Capital Markets Union,

I'm waiting for your reaction on the schedule I proposed for this request. I understand that according to Regulation 1049/2001 I should have your answer to this by now.

Yours faithfully,

Georgios Vassalos

Financial Stability, Financial Services and Capital Markets Union

Les bureaux de la Commission sont fermés les 9, 10 et 11 mai 2018.  Vos
demandes d'accès aux documents seront traitées dès le 14 mai. 

*  *  *

European Commission departments are closed on 9, 10 and 11 May 2018.  We
will handle your requests for access to documents as from 14 May.

EC ARES NOREPLY,

Link: [1]File-List
Link: [2]themeData
Link: [3]colorSchemeMapping

[4]Ares(2018)2526557 - Gestdem 2018-2075: access to documents request -
Contacts on MiFID, 2012-2014

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,

 

Thank you for your message.

 

We acknowledge receipt of your request and thank you for granting us an
extension of deadline until 11 June 2018.

 

Please note, however, that our Unit currently undergoes heavy workload due
to the adoption process of many legislative initiatives. Moreover, the
additional recipients mentioned in your request, as well as the many bank
holidays, also slowed down our capacity to deliver on 11 June.

 

Hence, we prefer to inform you beforehand that, despite the fact that we
will do our very best to respect the given deadline, we might not be in a
position to reply before 29 June 2018.

 

Thank you for your understanding.

With kind regards,

 

European Commission

DG Financial Stability, Financial Services and Capital Markets Union

FISMA C3 – Securities markets

 

 

 

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Georgios Vassalos left an annotation ()

Commission's delay in replying to this request is fully justified and follows a commonly agreed fair solution on the handling of this request.

Georgios Vassalos

Dear Financial Stability, Financial Services and Capital Markets Union,

OK. Thank you very much.

I'll be waiting the documents by June 29.

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
2018/2075.

 

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

 

 

Georgios Vassalos

Dear Mr Lueder,

Thanks for your timely response.

Yours faithfully,

Georgios Vassalos