Investor protection
Investor protection
The investor protection elements of MiFID II amend existing provisions on authorization, conduct of business and organisational requirements for providers of investment services. The rules strengthen the protection of investors through the introduction of new requirements on product governance and independent investment advice, the extension of existing rules to structured deposits, and the improvement of requirements in several areas including inducements and best execution. In these pages we set out our key materials on these core provisions.
Getting started with the legislation
Conduct of business
Traffic lights - Impact of MiFID II on EU conduct of business regimes
MiFID II Academy slides
- Extended briefing: MiFID II – from implementation to daily routines, September 2017
- MiFID II: extended briefing on different angles on investor protection, April 2017
- MiFID II Academy 40 minute briefing: Spotlight on conduct, December 2016
- 40-minute briefing: MiFID II Academy briefing [inducements and the purchase of research slides 29 to 32], September 2016
- 40-minute briefing: The new agenda – conflicts and inducements, July 2016
- 40-minute briefing: MiFID II / MiFIR – the road ahead [conduct of business heat map slides 32 to 38], April 2016
- MiFID Academy Seminar 2015: Update on the new trading environment [see slide 24 for best execution], November 2015
- MiFID II Academy – Amsterdam breakfast seminar: Best execution, October 2015
- MiFID II Academy slides – London seminar 2014: Retail conduct – investor protection examined – introduction to COBS Checker traffic light guide: Retail conduct investor protection examined: introduction to COBS Checker traffic light guide, October 2014
- MiFID II Academy seminar 2014: Product governance and the sales processes, October 2014
Fireside Friday
- Fireside Friday (July 2014) : MiFID II – Conduct of business requirements
Financial services breakfast
- Financial Services Breakfast – Frankfurt – Product Governance, September 2014
Webinars
- Conduct issues for investment managers and advisers, March 26, 2015
- Inducements and related issues, April 16, 2015
- Best execution and related issues, May 14, 2015
- Conflicts of interest, June 11, 2015
- Product governance and intervention, July 9, 2015
- Telephone recording and record keeping, and client categorization and the consequences, August 6, 2015
- Appropriateness and suitability, September 17, 2015
- Update on MiFID II conduct issues, November 26, 2015
- Client assets and product governance, May 19, 2016
- Inducements and research, June 2, 2016
- Definitions, June 16, 2016
- Organizational requirements for investment firms, June 30, 2016
- Research payment accounts and commission sharing agreements, September 15, 2016
- Wholesale conduct, October 27, 2016
- Update on conduct issues, March 16, 2017
- Update on conduct issues, 13 July 2017
MiG seminar slides 2016
