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.
NEWSLETTER SIGN UP
And receive exclusive articles on securities markets
Pension funds, sovereign wealth funds, endowments and other institutional asset owners are sitting on vast troves of data -- but extracting value from that data is more challenging than ever.
#AssetOwners #DataQuality
Technology costs in asset management have grown disproportionately, but McKinsey research finds the increased spending hasn’t consistently translated into higher productivity.
#AI #Fiance
We're in the FINAL WEEK for the European Women in Finance Awards nominations – don't miss your chance to spotlight the incredible women driving change in finance!
#WomenInFinance #FinanceAwards #FinanceCommunity #EuropeanFinance @WomeninFinanceM
ICYMI: @marketsmedia sat down with EDXM CEO Tony Acuña-Rohter to discuss the launch of EDXM International’s perpetual futures platform in Singapore and what it means for institutional crypto trading.
Read the full interview: https://bit.ly/45xRUWh
Related articles
-
The European Commission has proposed an active account requirement under EMIR 3.0.
-
The European Commission said the United Arab Emirates has deficiencies in anti-money laundering.
-
The build-up of exposures by the collapsed US family office can be seen in EMIR data.
-
The trade repository has been providing UK services since the first business day after Brexit on 4 Jan 2021.
-
The trade repository failed to ensure data integrity and provide access to regulators.
We're Enhancing Your Experience with Smart Technology
We've updated our Terms & Conditions and Privacy Policy to introduce AI tools that will personalize your content, improve our market analysis, and deliver more relevant insights.These changes take effect on Aug 25, 2025.
Your data remains protected—we're simply using smart technology to serve you better. [Review Full Terms] | [Review Privacy Policy] By continuing to use our services after Aug 25, 2025, you agree to these updates.
