MiFID II/MiFIR

All you need to know about the new Guidelines on the MiFID II compliance function requirements

With the first MiFID Directive, the European lawmakers emphasized the importance of an independent compliance function. It formalized the requirements investments firms had to fulfil to ensure a control framework that would “detect any risk of failure by the firm to comply with its obligations under Directive 2004/39/EC, as well as the associated risks, and …

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ESMA provides update on Investor Protection and Intermediary Topics under MiFID II

The European Securities and Markets Authority (ESMA) has added 9 new or updated Q&As to its Questions and Answers (Q&A) on MiFID II/MiFIR investor protection topics. 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 …

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Do Banks Comply with MiFID II? – Insights from the German Regulator

Today, it’s been 133 days that MiFID II has become applicable. Time to take stock and have a first look at MiFID II compliance – Do financial institutions follow the new rules? What are the stumbling blocks? And where do they need to improve? It is indeed early for a conclusive picture, but the outcome …

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ESMA updates transparency calculations for MiFID II/MiFIR

The European Securities and Markets Authority (ESMA) has published today an extended version of the MiFID II/MiFIR transitional transparency calculations (TTC) for equity and bond instruments, adding further instruments. The TTC for these additional instruments are displayed alongside the already published TTC that were published on 22 December 2017, which remain unchanged. ESMA has added today …

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ESMA updates key transparency calculations for MiFID II implementation

The European Securities and Markets Authority (ESMA) has published an updated version of the MiFID II/MiFIR transitional transparency calculations (TTC) for equity and bond instruments. This updated version mainly reflects changes in the classification of the instruments and the related parameters and resubmission of data by some trading venues. This new version is the one …

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European Watchdog provides last minute clarifications on MiFID II

With two weeks until the launch date of one of the biggest regulatory initiatives in history, the European Securities and Markets Authority (ESMA) has provided some clarity in respect of several aspects of MiFID II / MiFIR by publishing various documents. Investor Protection Q&As In an update to its Questions and Answers (Q&A) document on the …

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ESMA provides update on Commodity Derivatives under MiFID II

The European Securities and Markets Authority (ESMA) has today updated its Questions and Answers (Q&As) regarding commodity derivatives under the Market in Financial Instruments Directive (MiFID II) and Regulation (MiFIR). This update relates to position limits and position reporting. ESMA has also updated today its list of liquid commodity derivative contracts for position limit purposes. …

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