MiFID - Other useful materials

FSA Finalised Guidance 13/01: Risks to customers from financial incentives (January 2013)

ESMA opinions on waivers from pre-trade transparency (November 2012)

MiFID Connect Guidance

EU Commission MiFID Q&A

ESMA MiFID Q & A (June 2012)

CESR MiFID Q & A (July 2009)

EU Commission webpage providing information on MiFID implementation status and Article 4 notifications  

ESMA databases of EU-listed shares, Systematic Internalisers, MTFs, Regulated Markets and CCPs

EU Commission list of regulated markets under Article 47 of MiFID (July 2011)

Second City of London report on impact of MiFID (May 2011)

City of London report on impact of MiFID (October 2010)

ESME fact finding report on the developments of certain aspects of pre trade transparency in equities under MiFID (July 2009)

List of bilateral agreements with FSA regarding supervision of branches under MiFID (July 2008)

FSA Market Watch newsletter 32 (covers MiFID post trade transparency requirements) (June 2009)

CESR overview of national options and discretions under MiFID (October 2007)

FSA web page on MiFID (including sections on best execution, client categorisation, investment research, conflicts of interest and outsourcing)

FSA web page on MiFID appropriateness requirement

List of FSA cooperation agreements for outsourcing of retail portfolio management to third country providers under Article 15(5) MiFID Level 2

FSA web page on transaction reporting

This document is provided for information purposes only and does not constitute legal advice. Professional legal advice should be obtained before taking or refraining from any action as a result of the contents of this document.