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27 September 2018

ESMA(欧州証券市場機構)、MiFID2(第2次金融商品市場指令)・MiFIR(金融商品市場規則)に基づく第三国投資サービス会社の同等性評価に関する書簡を欧州委員会へ送付


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ESMA has written to the European Commission in relation to additional issues concerning some MiFID II/MiFIR requirements on investor protection and intermediaries.


The letter highlights a number of items, which are relevant in the context of the United Kingdom’s withdrawal from the European Union, in particular:

Concerns regarding the MiFIR regime for third country firms providing investment services and activities to eligible counterparties and per se professional clients;

Concerns regarding the MiFID II regime for third country firms providing investment services and activities to retail and professional clients on request;

Third country firms providing investment services and activities at the exclusive initiative of EU clients (reverse solicitation); and  

Investment firms outsourcing critical or important functions other than those related to portfolio management to third country providers.

Full letter



© ESMA


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