Capital markets investor protection

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This Overview provides a guide to the Financial Services content within the Capital markets investor protection subtopic, with links to the appropriate materials.

MiFID II conduct of business and investor protection requirements

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:

  1. •

    client categorisation

  2. •

    client agreements

  3. •

    information provided to clients

  4. •

    independent advice

  5. •

    inducements

  6. •

    research

  7. •

    investment advice

  8. •

    suitability and suitability reports

  9. •

    appropriateness assessments

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