Friday, 22 June 2012

ESMA publishes MiFID update on Investor Protection and Intermediaries.

MiFID Questions and Answers June 2012-382.pdf Download this file

Executive Summary

ESMA publishes an update to the MiFID Q&A in the area of Investor Protection and Intermediaries.

 

Analysis

The purpose of this document is to promote common supervisory approaches and practices in the application of MiFID and its implementing measures. It does this by providing responses to questions posed by the general public and competent authorities in relation to the practical application of MiFID. 

The content of this document is aimed at competent  authorities under MiFID to ensure that in their supervisory activities their actions are converging along the lines of the responses adopted by CESR, and now ESMA. However, the answers are also intended to help firms by providing clarity as to the content of the MiFID rules, rather than creating an extra layer of requirements.

 

Additional information

ESMA is required to play an active role in building a common supervisory culture by promoting common supervisory approaches and practices. In this regard, ESMA will continue to develop Q&As as and when appropriate. 



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