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ESMA Q&As Updated

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On 28.05.2020 the European Securities and Markets Authority (ESMA) published an updated set of Q&As (Questions & Answers) about the protection of investors in relation to MiFID II / MiFIR:

  1. Best execution
  2. Suitability and adequacy
  3. Recording telephone conversations and electronic communications
  4. Record keeping
  5. Investment advice on an independent basis
  6. Underwriting and placing
  7. Inducements in connection with research
  8. Reporting requirements
  9. Information on costs and charges
  10. Appropriateness / Complex Financial Instruments
  11. Client categorisation
  12. Inducements (1 Q&A)
  13. Provision of investment services and activities by third country firms
  14. Application of MiFID II after 3 January 2018, including issues of late transposition
  15. Other issues
  16. Product governance
  17. Product intervention
  18. MiFID issues for the distribution of instruments that are subject to the BRRD resolution regime

The aforementioned ESMA Q&As can be downloaded on the following web page in the Downloads section. These ESMA Q&As are intended to ensure a common supervisory approach with regard to the application of MiFID II and MiFIR in conjunction with investor protection issues, and are intended both for the competent supervisory authorities as well as the supervised entities. Questions are answered to questions asked by the general public, market participants and the competent supervisory authorities in relation to the practical application of MiFID II/MiFIR.

ESMA Q&As are only available in English. The contents are not comprehensive and cannot be considered as new rules. The Q&As are constantly extended by ESMA and where necessary also updated.

The date of publication is given for each chapter and question to make them easier to follow and for reference purposes. Newer Q&As are indicated in red text as *new*.

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Regulator Information

Regulator Name: Financial Market Authority
Abbreviation: FMA
Jurisdiction: Austria

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