The European Securities and Markets Authority (ESMA) has included 7 new or updated items in its Questions and Answers (Q&A) document on the implementation of investor protection topics under the Market in Financial Instruments Directive and Regulation (MiFID II/ MiFIR).
The updated Q&As are on the topics of inducements (research) and information on costs and charges. The other four Q&As are new and relate to the topics of inducements, post-sale reporting and other issues
The overall MiFID II Q&A provide clarifications on the following topics:
- 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
- Underwriting and placement of a financial instrument
- Client categorisation
- Inducements
- Provision of investment services and activities by third country firms
- Application of MiFID II after 3 January 2018, including issues of ‘late transposition’
- Other issues
MiFID II applies from 3 January 2018 and will strengthen the protection of investors by both introducing new requirements and reinforcing existing ones. The purpose of this Q&A is to promote common supervisory approaches and practices in the application of MiFID II/MiFIR for investor protection topics.
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