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23 March 2018

ESMA updates MiFID/MiFIR investor protection Q&As


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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.

Full Q&A



© ESMA


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