MiFID II/MiFIR

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ESMA updates transitional transparency calculations under MiFID II

The European Securities and Markets Authority (ESMA) has updated its transitional transparency calculations (TTC) for non-equity instruments in relation to the implementation of the Markets in Financial Instruments Directive/ Markets in Financial Instruments Regulation (MiFID II/ MiFIR). MiFID II’s implementing measures on transparency for non-equity instruments require national competent authorities (NCAs) to publish information on …

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ESMA consults on certain aspects of the MiFID II suitability requirements

The European Securities and Markets Authority (ESMA) has published a Consultation Paper (CP) on draft guidelines on certain aspects of the suitability requirements under the Markets in Financial Instruments Directive (MiFID II). The suitability requirements were introduced under MiFID to enhance investor protection by ensuring that firms which provide investment advice and portfolio management act …

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ESMA updates MiFID II/ MIFIR Investor Protection Q&A

The European Securities and Markets Authority (ESMA) has added 2 new Q&A 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&A cover the topics of recording of telephone conversations and electronic communications, and best execution. …

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ESMA updates Q&A on MiFID II implementation

The European Securities and Markets Authority (ESMA) has today updated its Question and Answers (Q&As) regarding the implementation of the Market in Financial Instruments Directive (MiFID II) and Regulation (MiFIR). 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 …

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ESMA provides interim transparency calculations for MiFID II

The European Securities and Markets Authority (ESMA) has issued today an opinion with interim transparency calculations for non-equity instruments in relation to the implementation of the Markets in Financial Instruments Directive/Markets in Financial Instruments Regulation (MiFID II). These calculations specify the transparency regime applicable to trading in secondary markets from 3 January 2018, when MiFID II …

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MIFID II: ESMA issues final guidelines on trading halts

The European Securities and Markets Authority (ESMA) has issued today its final guidelines on trading halts under the Markets in Financial Instruments Directive (MiFID II). MiFID II provides that Member States shall require a regulated market to be able to temporarily halt or constrain trading if there is a significant price movement in a financial …

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ESMA updates MiFID II/ MIFIR Investor Protection Q&A

The European Securities and Markets Authority (ESMA) has added 14 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 ‘information on costs and charges’, ‘post-sale reporting’, and ‘appropriateness’. The …

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ESMA publishes final report on product governance guidelines to safeguard investors

The European Securities and Markets Authority (ESMA) has published today the Final Report on product governance guidelines under the Markets in Financial Instruments Directive II (MiFID II) regarding the target market assessment by manufacturers and distributors of financial products. The requirements on product governance were introduced under MiFID II to enhance investor protection by regulating …

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European regulator concerned about national watchdogs' MiFID supervisory practices

The European Securities and Markets Authority (ESMA) has published a Follow-up Report on the actions undertaken by ten National Competent Authorities (NCAs) in addressing deficiencies identified in the 2014 Peer Review on MiFID Conduct of Business rules relating to fair, clear and not misleading information (2014 Review). ESMA welcomes the efforts made by most of …

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ESMA issues final guidelines regarding circuit breakers under MiFID II

The European Securities and Markets Authority (ESMA) has issued today the final report on the Guidelines regarding the calibration of circuit breakers and the publication of the trading halts under the Markets in Financial Instruments Directive (MiFID II). These Guidelines provide further detail on the parameters that trading venues should consider for the calibration of …

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