Featured Product

    ESMA Updated Q&A on MiFID II/MiFIR Investor Protection

    July 10, 2017

    ESMA updated the questions and answers (Q&A) document on the implementation of investor protection topics under the Markets in Financial Instruments Directive and Regulation (MiFID II and MiFIR). The updated document adds Q&A on the topics of “recording of telephone conversations and electronic communications” and “best execution.”

    TheMiFID II Q&A provide clarifications on topics such as best execution, suitability and appropriateness, recording of telephone conversations and electronic communications, post-sale reporting, record keeping, investment advice on an independent basis, inducements (research), information on charges and costs, and underwriting and placement of a financial instrument. MiFID II applies from January 03, 2018 and will strengthen the protection of investors by both introducing new requirements and reinforcing the existing ones. This set of Q&A is intended to promote common supervisory approaches and practices in the application of MiFID II/MiFIR for investor protection topics. ESMA will continue to develop the Q&A on investor protection topics under MiFID II in the coming months by adding questions and answers to the topics already covered and by introducing new sections for other MiFID II investor protection areas not yet addressed in the Q&A.

     

    Related Links

    Updated Q&A on MiFID II (PDF)

    MiFID II

    Keywords: ESMA, Europe, MiFID II, MiFIR, Q&A, Securities, Investor Protection

    Related Articles
    News

    FASB Proposes Taxonomy Changes Related to Topics 848 and 470

    FASB proposed taxonomy improvements for the proposed Accounting Standards Update on topic 848 on facilitation of effects of reference rate reform on financial reporting.

    September 16, 2019 WebPage Regulatory News
    News

    BoE Statement on Recalculating Transitional Measures Under Solvency II

    BoE notified that it will be willing to accept applications from firms to recalculate transitional measure on technical provisions (TMTP) as at September 30, 2019.

    September 16, 2019 WebPage Regulatory News
    News

    BoE Paper on Market-Implied Systemic Risk and Shadow Capital Adequacy

    BoE published a working paper that presents a forward-looking approach to measure systemic solvency risk.

    September 13, 2019 WebPage Regulatory News
    News

    HKMA Consults on Policy Module on Pillar 2 Supervisory Review Process

    HKMA is consulting on the revised Supervisory Policy Manual module CA-G-5 that sets out the HKMA approach to conducting the supervisory review process under Pillar 2.

    September 13, 2019 WebPage Regulatory News
    News

    PRA Publishes Waiver by Consent of Continuity of Access Rules

    PRA published a new waiver by consent to waive the Continuity of Access requirements contained in the Depositor Protection Part of the PRA Rulebook (DPP).

    September 13, 2019 WebPage Regulatory News
    News

    EBA Single Rulebook Q&A: Second Update for September 2019

    EBA updated the Single Rulebook question and answer (Q&A) tool with answers to three questions.

    September 13, 2019 WebPage Regulatory News
    News

    PRA Revises Branch Return and Updates Guidance for Regulatory Reports

    PRA published the policy statement PS17/19, which contains the final policy related to changes in the format and content of the Branch Return Form and reporting guidance.

    September 12, 2019 WebPage Regulatory News
    News

    ISDA Guide on Collateral Management Under Smart Derivatives Contracts

    ISDA published the third in a series of legal guidelines for smart derivatives contracts.

    September 12, 2019 WebPage Regulatory News
    News

    ESA Report Highlights Risks of No-Deal Brexit in EU Financial System

    ESAs published a Joint Committee report on risks and vulnerabilities in the EU financial system.

    September 12, 2019 WebPage Regulatory News
    News

    ECB Modifies New Targeted Longer-Term Refinancing Operations

    The Governing Council of ECB decided to modify some of the key parameters of the third series of targeted longer-term refinancing operations (TLTRO III) to preserve favorable bank lending conditions (Decision (EU) 2019/1558).

    September 12, 2019 WebPage Regulatory News
    RESULTS 1 - 10 OF 3819