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ESMA publishes update to MiFID II Q&As on investor protection and intermediaries topics
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 […]
ESMA adds new Q&A on profit forecasts
The new Q&A provides clarification on how to identify profit forecasts in the context of prospectuses, notably by explaining the definition included in the Prospectus Regulation No 809/2004 and by providing examples on what may or not constitute a profit forecast. The purpose of this Q&A is to enhance supervisory convergence in the area of […]