Regulatory News, Regulatory News - EMEA

ESMA updates its Q&As on MIFID II and MIFIR Market Structure and Transparency Topics

February 1st 2019  The European Securities and Markets Authority (ESMA) has today updated its Questions and Answers regarding market structures and transparency issues under the Market in Financial Instruments Directive (MiFID II) and Regulation (MiFIR). The new Q&As provide clarification on the following topics: •           APA reports to competent authorities and ESMA; and, •    […]

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ESMA UPDATES COMMODITY DERIVATIVES TRANSITIONAL TRANSPARENCY CALCULATIONS FOR MIFID II/ MIFIR

January 22nd, 2019   There has been an update relating to MiFID II/MiFIR transitional transparency calculations for (electricity) commodity derivatives by European Securities and Markets Authority (ESMA). Further details on the revisions can be found on the ESMA website here. Related links: Outline of AxiomSL’s Trade and Transaction Reporting  

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ESMA update its Q&As on MIFID II and MiFIR Transparency Topics

January 4th 2019  The European Securities and Markets Authority (ESMA) has today updated its Questions and Answers regarding transparency issues under the Market in Financial Instruments Directive (MiFID II) and Regulation (MiFIR). The new Q&As provide clarification on the following topics: Publication of request for market data (RFMD) transactions; Default transparency regime for equity instruments (amendment to […]

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ESMA update its Q&As on MIFID II and MIFIR Market Structure and Transparency Topics

November 14th 2018  The European Securities and Markets Authority (ESMA) has today updated its Questions and Answers regarding market structures and transparency issues under the Market in Financial Instruments Directive (MiFID II) and Regulation (MiFIR). The new Q&As provide clarification on the following topics: Making data available free of charge 15 minutes after publication (amendment to an existing Q&A); • Obligations […]

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ESMA update its Q&As on MIFID II and MIFIR Market Structure and Transparency Topics

October 4th 2018  The European Securities and Markets Authority (ESMA) has today updated its Questions and Answers regarding market structures and transparency issues under the Market in Financial Instruments Directive (MiFID II) and Regulation (MiFIR). The new Q&As provide clarification on the following topics: Classification of derivatives on derivatives for transparency purposes; Default liquidity status of bonds (amendment to an […]

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ESMA update its Q&As on MIFID II and MIFIR commodity derivative topics

October 2nd 2018  The European Securities and Markets Authority (ESMA) has today updated its Questions and Answers on MiFID II and MiFIR commodity derivatives topics. These Q&As provide clarification on issues related to the MiFID II/MiFIR regime for commodity derivatives, including on position limits, position reporting and ancillary activity. New or revised answers are provided on […]

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ESMA publishes Compliance table for Guidelines on MiFID II product governance requirements

September 11th 2018 ESMA has today, published a compliance table for the Guidelines on MiFID II product governance requirements. In the publication, which can be found here, ESMA have identified each competent authority and stated whether they comply or intend to comply with ESMA Guidelines on product governance. Further details can be found on the […]

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ESMA updates MiFIR/MiFID II QA on Investor Protection

November 10, 2017 The European Securities and Markets Authority (ESMA) published today an update to the questions and answers document (Q&A) on the implementation of investor protection topics under the Market in Financial Instruments Directive and Regulation (MiFID II/ MiFIR). The overall MiFID II Q&A provide clarifications on the following topics: Best execution Suitability and […]

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ESMA updates MiFIR/MiFID II Q&A on Investor Protection

October 03, 2017 The European Securities and Markets Authority (ESMA) published today an update to the questions and answers document (Q&A) on the implementation of investor protection topics under the Market in Financial Instruments Directive and Regulation (MiFID II/ MiFIR). This updated Q&A provides clarification on the following topics: Best execution; Suitability and appropriateness; Recording […]

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FCA publishes Policy Statement (PS17/14) on MiFID II implementation

July 03, 2017 The Financial Conduct Authority (FCA) published today a Policy Statement on the Markets in Financial Instruments Directive II (MiFID II). The publication sets out final rules on conduct issues, including research, inducements, client categorisation, best execution, the appropriateness test, taping, client assets and perimeter guidance. Firms must continue with their preparations for […]