ESMA publishes latest updates to MiFID II/MiFIR investor protection Q&As
03 October 2017
The new Q&As cover the topics of client categorisation, post-sale reporting, recording of telephone conversations and electronic communications, best execution, and information on costs and charges.
ESMA has added 12 new Q&As to its Questions and Answers document on the implementation of investor protection topics under the Market in Financial Instruments Directive and Regulation (MiFID II/ MiFIR).
The overall MiFID II Q&A provide clarifications on the following topics:
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Best execution;
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Suitability and appropriateness;
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Recording of telephone conversations and electronic communications;
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Post-sale reporting;
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Record keeping;
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Investment advice on an independent basis;
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Inducements (research);
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Information on charges and costs;
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Underwriting and placement of a financial instrument; and
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Client categorisation.
Full Q&A
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