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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 updates Q&A on MiFID II implementation
The purpose of these Q&As is to promote common supervisory approaches and practices in the application of MiFID II. It provides responses to questions posed by the general public and market participants in relation to the practical application of MiFID II and MiFIR on: Commodity derivatives issues: Market data issues: Market structure issues: Multilateral trading […]