MiFID review consultation: investor protection and provision of investment services

Resource type: Practice note

Status: Maintained

Jurisdiction: European Union

This practice note is one of two notes summarising the European Commission's consultation proposals to amend the requirements of the Markets in Financial Instruments Directive (2004/39/EC) and its implementing legislation, which were published in December 2010 following the Commission's review of the effectiveness of the Directive.

This note focuses specifically on the proposals relating to the scope of MiFID (including exemptions), conduct of business issues, the provision of investment services (including authorisation and organisational requirements), the sanctions regime, member state options and discretions, and third country firm equivalence.

This note does not comment on the Commission's legislative proposals to amend MiFID, which were published in October 2011. For details of the legislative proposals, see Practice note, Hot topics: MiFID II.

PLC Financial Services

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  • Resource ID: 9-504-2651
  • Products:  PLC UK Financial Services
  • This resource is maintained, meaning that we monitor developments on a regular basis and update it as soon as possible.
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