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MiFID II/ MiFIR open hearings: save the date(s)

ESMA has announced a series of open hearings on MiFID II/ MiFIR, to be held in Paris on the 7 and 8 July. The focus will be on three key areas outlined in its Discussion paper and Consultation paper, namely: market issues, investor protection issues and commodity derivatives. Issues under discussion include, but are not limited to:

Market Issues

  • Transparency and Regulatory Reporting
  • Access and post-trading issues
  • SME Growth Markets and organisational requirements applying to trading venues

Investor Protection Issues

  • Exemptions from the applicability of MiFID II
  • Inducements
  • Compliance function and complaints handling
  • Record-keeping and recording and recording of telephone conversations and electronic communications
  • Safeguarding of client assets
  • Best execution; client-order handling
  • Conflict of interest and remuneration
  • Client agreement and reporting to clients

Commodity Derivatives

  • Position limits
  • Position reporting
  • Financial instruments definition
  • Position management powers of ESMA

Space at the hearings is limited to one person per entity, allocated on a first come first served basis. Book here. For disappointed applicants, audio recording and ‘potentially’ video footage of proceedings will be available on the ESMA website.

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