December 18, 2017

ESMA updated several question and answer documents (Q&As) related to the implementation of the revised Market in Financial Instruments Directive and Regulation (MiFID II and MiFIR) in the EU. The Q&A mechanism is a practical convergence tool used to promote common supervisory approaches and practices. MiFID II becomes effective from January 03, 2018.

The updated Q&A include the following:

  • Ten Q&As on the implementation of investor protection topics such as inducements, suitability, and provision of investment services and activities by third-country firms
  • Q&A on transparency and market structures issues including new answers on the scope of the tick size regime; application of MiFID II after January 03, 2018, including issues of late transposition; equity transparency; non-equity transparency; and pre-trade transparency waivers
  • Q&A on data reporting, including topics such as unknown date of admission; concept of underlying; and non-EU branches of EU Investment firms

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Keywords: Europe, EU, Securities, Q&A, MiFID/MiFIR, Investor Protection, Transparency, Market Structures, Data Reporting, ESMA

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