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