The new or updated Q&As cover the topics of best execution, client categorisation, provision of investment services and activities by third country firms, and other issues.
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
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Client categorisation
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Inducements
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Provision of investment services and activities by third country firms
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Application of MiFID II after 3 January 2018, including issues of ‘late transposition’
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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
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