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
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