{"id":15036,"date":"2017-07-28T13:13:09","date_gmt":"2017-07-28T11:13:09","guid":{"rendered":"https:\/\/www.fma.gv.at\/esma-questions-answers-2\/"},"modified":"2017-08-18T17:07:50","modified_gmt":"2017-08-18T15:07:50","slug":"esma-updates-qas-on-mifid-iimifir-investor-protection-topics","status":"publish","type":"post","link":"https:\/\/www.fma.gv.at\/en\/esma-updates-qas-on-mifid-iimifir-investor-protection-topics\/","title":{"rendered":"ESMA updates Q&#038;As on MiFID II\/MiFIR investor protection topics"},"content":{"rendered":"<?xml encoding=\"utf-8\" ?><p>On 10.07.2017 the European Securities and Markets Authority (ESMA) published an updated set of Q&amp;A&rsquo;s (Questions &amp; Answers) on issues about the protection of investors in relation to MiFID II\/MiFIR.<\/p><ul>\n<li>Best execution<\/li>\n<li>Suitability and adequacy<\/li>\n<li>Recording telephone conversations and electronic communications<\/li>\n<li>Record keeping<\/li>\n<li>Investment advice on an independent basis<\/li>\n<li>Underwriting and placement (of issuances)<\/li>\n<li>Inducements (Research)<\/li>\n<li>Post-sale reporting<\/li>\n<li>Information on costs and charges<\/li>\n<li>Appropriateness \/ Complex Financial Instruments<\/li>\n<\/ul><p>&nbsp;<\/p><p>These ESMA Q&amp;As can be downloaded from the following <a href=\"https:\/\/www.fma.gv.at\/en\/cross-sectoral-topics\/rules-of-conduct-and-compliance\/\">page<\/a> under the downloads section, and are intending 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&nbsp;II\/MiFIR.<\/p><p>The ESMA Q&amp;As are only available in English. The contents are not comprehensive and cannot be considered as new rules. The Q&amp;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.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>MiFID II\/MiFIR Investor protection topics<\/p>\n","protected":false},"author":60,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"inline_featured_image":false,"footnotes":""},"categories":[86],"tags":[],"class_list":["post-15036","post","type-post","status-publish","format-standard","hentry","category-information-en"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.7 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>ESMA updates Q&amp;As on MiFID II\/MiFIR investor protection topics - FMA \u00d6sterreich<\/title>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.fma.gv.at\/en\/esma-updates-qas-on-mifid-iimifir-investor-protection-topics\/\" \/>\n<meta property=\"og:locale\" content=\"en_US\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"ESMA updates Q&amp;As on MiFID II\/MiFIR investor protection topics - 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