Capital markets investor protection

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:

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client categorisation
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client agreements
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information provided to clients
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independent advice
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inducements
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research
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investment advice
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suitability and suitability reports
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appropriateness assessments

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Latest Financial Services News

EBA publishes final standards on long and short positions

The European Banking Authority (EBA) has published a Final Report on draft Regulatory Technical Standards (RTS) detailing methods for identifying main risk drivers and determining long or short positions in transactions. The draft RTS, propose a general method based on sensitivities from the market risk standardised approach (FRTB-SA) or add-ons from the standardised approach for counterparty credit risk (SA-CCR). A simplified method for relatively simple instruments such as fixed- and floating-rate bonds, stocks, forwards, futures, simple swaps and plain vanilla options is also included.

HMT publishes information about the work of the Financial Inclusion Committee, including Terms of Reference

HM Treasury (HMT) has published Policy paper – Financial Inclusion Committee: terms of reference. The Policy paper sets out the mission of the Committee which is to tackle barriers to individual and household’s ability to access affordable and appropriate financial products and services. The Committee’s objectives are to develop, coordinate and implement interventions to support financial inclusion in the UK, and advise the UK government on the development of its financial inclusion strategy. The Committee will be chaired by the Economic Secretary to the Treasury.

ESMA and ACER convene to combat energy market abuse

The European Securities and Markets Authority (ESMA) and the EU Agency for the Cooperation of Energy Regulators (ACER) convened the 7th annual Energy Trading Enforcement Forum on 3 December 2024. The forum focused on the implementation of the updated REMIT Regulation, which has granted ACER enhanced investigatory and enforcement capabilities for cross-border cases. The forum emphasised the bolstered collaboration between energy and financial regulators.

FCA reflects on the state of the sustainable investment product regime

The Financial Conduct Authority (FCA) has published ‘Establishing trust in sustainable investment products’ reflecting on the current state of its sustainable investment products regime, following measures introduced in 2023 to improve trust in and transparency of sustainable investment products. To avoid uncertainty whilst maintaining the flexibility built into the regime, the FCA sets out pre-contractual disclosure examples illustrating how applicants can meet the requirements.

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