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CESR issued three supervisory briefings on the key elements of MiFID, summarising the key elements of the rules and explaining the associated objectives and outcomes. The briefings relate to the issues of best execution, conflicts of interest, and inducements.
The contents of these briefings are not exhaustive and do not constitute new CESR policy. The briefings also include indicative questions that supervisors could ask of themselves or a firm to assess a firm’s approach to applying the rules.
Supervisory briefings - Conflicts of interest
Supervisory briefings - Inducements
Supervisory briefings - Best execution