This Overview provides a guide to the Financial Services content within the Capital markets investor protection subtopic, with links to the appropriate materials.
The recast Markets in Financial Instruments Directive 2014/65/EU (OJ L 173/349) (EU MiFID II) and the Markets in Financial Instruments Regulation (EU) 600/2014 (OJ L 173/84) (EU MiFIR) entered into force on 2 July 2014. The majority of the requirements of EU MiFID II and EU MiFIR had effect from 3 January 2018.
EU MiFID II contains requirements which are relevant to many aspects of capital markets conduct of business and investor protection, including:
client categorisation
client agreements
information provided to clients
independent advice
inducements
research
investment advice
suitability and suitability reports
appropriateness assessments
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