MiFID - Investor Protection
This paper is primarily of interest to competent authorities and firms that are subject to Directive 2014/65/EU of the European Parliament and of the Council (MiFID II). In particular, this paper is addressed to investment firms and credit institutions providing investment advice or discretionary portfolio management services.
Opinion to support supervisory convergence in the area of investment firms in the context of the United Kingdom withdrawing from the European Union
The Markets in Financial Instruments Regulation (MiFIR) will introduce product intervention powers for national competent authorities (NCAs) and ESMA on 3 January 2018, when it enters into force.
Below we provide a brief explanation of the key features of these powers in the form of Frequently Asked Questions (FAQs).
This statement provides an update on the European Securities and Markets Authority’s (ESMA) work in relation to the sale of contracts for differences (CFDs), binary options and other speculative products to retail investors.