MiFID Review Paper on Investor Protection and Intermediaries
31 May 2010
Deadline: 31 May 2010
Source: CESR website
The Committee of European Securities Regulators (CESR) has published a consultation paper as a part of its review into the Markets in Financial Instruments Directive (MiFID) on Investor Protection and Intermediaries. The paper looks at six main areas:
• Requirements relating to the recording of telephone conversation and electronic communications
• Execution venue quality data
• Complex vs. Non-complex institutions for the purposes of appropriateness requirements
• Definition of personal recommendation
• Supervision of tied agents (and related issues)
• Options and discretions
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