Regulatory Update

ESMA has added 14 new Q&As to its document on the implementation of investor protection topics under the MiFID II/ MiFIR. The new Q&As cover the topics of ‘information on costs and charges’, ‘post-sale reporting’, and ‘appropriateness’. The overall MiFID II Q&A provide clarifications on the following topics:

  • Appropriateness;
  • Best execution;
  • Suitability;
  • Post-sale reporting;
  • Inducements (research);
  • Information on charges and costs; and
  • Underwriting and placement of a financial instrument.

ESMA will continue to develop this Q&A on investor protection topics under MiFID II in the coming months, both adding questions and answers to the topics already covered and introducing new sections for other MiFID II investor protection areas not yet addressed in this Q&A.

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