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Since 1 January, 2018, Market in Financial Instrument regime (MiFID II/MiFIR) is live and has significantly affected the banking and asset management industries at several levels. Between 2015 and 2018, market players invested a lot of effort and energy to ensure that their organisations and operations are compliant with this new regulatory environment.
However, with its complex implementation and significant impacts on organisations, MiFID II/MiFIR generates on-going concerns. Combining both compliant and efficient processes with business constraints is a key success factor for market players under this challenging regime.
Technical Summary
MiFID II (Directive)
The MiFID II Directive encompasses the rules and guidelines on governance, products, investor protection and information disclosure. In addition, the requirements for third country firms to access the EU market are addressed. The contents of the Directive are subject to Level 2 and Level 3 measures as well as, potentially, to national implementation specifics by EU Member States, as far as allowed.
MiFIR (Regulation)
The MiFIR Regulation encompasses the rules and guidelines on execution venues, transaction execution as well as pre- and post-trade transparency. The contents of the Regulation are subject to Level 2 and Level 3 measures and will immediately come into force in the EU member states without possibility of national implementation specifics.
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Contact us
Olivier Carré
Partner Regulatory Advisory - MiFID II Leader, PwC Luxembourg
Tel: +352 49 48 48 4174
Cécile Liégeois
Regulatory & Compliance Advisory Services - Banking - Partner, PwC Luxembourg
Tel: +352 49 48 48 2245
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