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

    APRA Revises Related Entities Standard for Banks

    APRA published a strengthened prudential standard APS 222 on associations with related entities, with the aim to mitigate contagion risk within banking groups.

    August 20, 2019 WebPage Regulatory News
    News

    FSB on Responses to Consultation on Wind-Down of Trading Portfolios

    FSB published responses received to the consultation on the solvent wind-down of the derivatives and trading book portfolio of a global systemically important bank (G-SIB).

    August 19, 2019 WebPage Regulatory News
    News

    FSB Publishes Responses to Consultation on Resolvability Disclosures

    FSB published responses received to the consultation on disclosures for resolution planning and resolvability of banks.

    August 19, 2019 WebPage Regulatory News
    News

    HKMA Revises Implementation Schedule for Initial Margin Rules

    HKMA intends to adopt a revised implementation schedule for the margin requirements for non-centrally cleared derivatives.

    August 16, 2019 WebPage Regulatory News
    News

    HKMA Revises Guideline on Application of Banking Disclosure Rules

    HKMA issued a revised version of the Supervisory Policy Manual module CA-D-1 on guideline on the application of the Banking (Disclosure) Rules (BDR).

    August 16, 2019 WebPage Regulatory News
    News

    ECB Decision on Recognizing Reporting Member States Under AnaCredit

    ECB has finalized the Decision 2019/1348 (ECB/2019/20) that establishes procedure for recognizing non-euro area member states as reporting member states under the AnaCredit Regulation (EU 2016/867).

    August 16, 2019 WebPage Regulatory News
    News

    FASB Proposes to Extend CECL Standard Deadline for Certain Entities

    FASB proposed an Accounting Standards Update that would grant private companies, not-for-profit organizations, and certain small public companies additional time to implement FASB standards on current expected credit losses (CECL), leases, and hedging.

    August 15, 2019 WebPage Regulatory News
    News

    IASB Adds Phase Two of IBOR Reform to Its Work Plan

    IASB (or the Board) has added the second phase of its project focused on potential financial reporting implications linked to the interest rate benchmark reform—interbank offer rate (IBOR) reform—to its work plan.

    August 15, 2019 WebPage Regulatory News
    News

    FED Updates Draft Instructions for Proposed FR Y-14 Reporting Forms

    FED updated draft instructions for the monthly, quarterly, and annual capital assessments and stress testing reports, also known as forms FR Y-14M, FR Y-14Q, FR Y-14A, respectively.

    August 15, 2019 WebPage Regulatory News
    News

    FASB Proposes Taxonomy Changes Related to Topics 326, 815, and 842

    FASB is proposing taxonomy improvements for the proposed Accounting Standards Update on clarifying the interactions among topic 321 on investments in equity securities), topic 323 on investments under equity method and joint ventures), and topic 815 on derivatives and hedging.

    August 15, 2019 WebPage Regulatory News
    RESULTS 1 - 10 OF 3665