ESMA updates its Q&As on MiFID II/MiFIR Investor Protection topics

10 November 2017

The new Q&As cover the topics of post-sale reporting, record keeping, and inducements.

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

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

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