MiFID II/MiFIR

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ESMA publishes key transparency calculations for MiFID II implementation

The European Securities and Markets Authority (ESMA) published today the MiFID II/MiFIR transitional transparency calculations (TTC) for equity and bond instruments. Today’s publication means that TTC for all asset classes, applicable from 3 January 2018, are now available to market participants, infrastructures and authorities as required under the new regulatory framework. The execution of the …

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ESMA clarifies various aspects of MiFID II questions

ESMA today published a number of updates to different Q&As on MiFID II aspects. The Questions and Answers (Q&As) regarding commodity derivatives under the Market in Financial Instruments Directive (MiFID II) and Regulation (MiFIR) aim to promote common supervisory approaches and practices in the application of MiFID II and MiFIR in relation to commodity derivatives …

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ESMA clarifies MiFID II trading obligation for shares

The European Securities and Markets Authority (ESMA) has updated today its Question and Answers (Q&As) regarding the implementation of the Markets in Financial Instruments Directive (MiFID II). Today’s update clarifies the application of the trading obligation for shares to trade certain instruments on-venue. MiFIR introduces a trading obligation for shares that will require investment firms …

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ESMA provides several updates on investor protection under MiFID II

The European Securities and Markets Authority (ESMA) has added 4 new Q&As to its Questions and Answers (Q&A) document on the implementation of investor protection topics under the Market in Financial Instruments Directive and Regulation (MiFID II/ MiFIR). The new Q&As cover the topics of post-sale reporting, record keeping, and inducements. The overall MiFID II Q&A …

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ESMA consults on quote rules for systematic internalisers under MiFID II

The European Securities and Markets Authority (ESMA) has today opened a public consultation on a proposed amendment to the Regulatory Technical Standard (RTS 1) which details the implementation of the Markets in Financial Instruments Directive (MiFID II) and Regulation (MiFIR). ESMA proposes to amend RTS 1 to clarify that systematic internalisers’ (SI) quotes should reflect …

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EU advises on obtaining brokerage and research services from non-EU brokers under MiFID II

Today, the European Commission has issued guidance in the form of Frequently Asked Questions to clarify how EU investment firms should interact when they seek out brokerage and research services from broker-dealers in non-EU countries. Valdis Dombrovskis, Vice-President in charge of Financial Stability, Financial Services and Capital Markets Union, said “With the issued guidance EU …

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ESMA agrees MiFID II position limits proposed by FCA

The European Securities and Markets Authority (ESMA) has published today nine opinions on position limits regarding commodity derivatives under the Markets in Financial Instruments Directive and Regulation (MiFID II/MIFIR). ESMA’s opinions agree nine position limits proposed by the Financial Conduct Authority (FCA). The position limits concern contracts on: London cocoa; Robusta coffee; White sugar; Aluminium; …

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ESMA launches key MiFID II and MAR financial instrument reference database

The European Securities and Markets Authority (ESMA) has today launched the second phase of its Financial Instrument Reference Database (FIRDS). The launch involves providing access to the database containing the currently available reference data that will eventually enable market participants to identify instruments subject to MAR and MiFID II/MiFIR reference data reporting requirements. This will …

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European regulators publish guidelines on suitability assessment for senior management

The European Banking Authority (EBA) and the European Securities and Markets Authority (ESMA) have published their joint Guidelines to assess the suitability of members of management bodies and key function holders. The authorities issued these guidelines in accordance with MiFID II, in particular with the requirements introduced by Directive 2013/36/EU and Directive 2014/65/EU, ESMA and EBA …

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ESMA updates Q&A on MiFID II implementation

The European Securities and Markets Authority (ESMA) has published today updated Questions and Answers (Q&As) regarding the implementation of the Markets in Financial Instruments Directive (MiFID II) and Regulation (MiFIR). The purpose of this document is to promote common supervisory approaches and practices in the application of MiFID II and MiFIR in relation to market …

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