MiFID2: ESMA updates Q&As on investor protection topics

13/06/2017 | Clifford Chance

The European Securities and Markets Authority (ESMA) has updated its questions and answers document (Q&A) on investor protection topics under MiFID2 and MiFIR.

 

The Q&A document includes fourteen new answers that are intended to clarify issues relating to:

 

  • appropriateness;
  • best execution;
  • suitability;
  • post-sale reporting;
  • inducements;
  • information on charges and costs; and
  • underwriting and placement of a financial instrument.

 

ESMA intends to review its Q&As on a regular basis and update the document when new questions are received.