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Directive 2014/65/EU

 

I. General Information

Title

Directive  2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Directive  2002/92/EC and Directive  2011/61/EU

Abbreviations MiFID II
Status: Existing
Description

The new framework aims to make financial markets more efficient, resilient and transparent. It introduces a market structure which closes loopholes and ensures that trading, wherever appropriate, takes place on regulated platforms. It introduces rules on high frequency trading. It improves the transparency and oversight of financial markets – including derivatives markets - and addresses the issue of excessive price volatility in commodity derivatives markets. A new framework will improve conditions for competition in the trading and clearing of financial instruments. Building on the rules already in place, the revised  MiFID also strengthens the protection of investors by introducing robust organisational and conduct requirements or by strengthening the role of management bodies. The new framework also increases the role and supervisory powers of regulators and establishes powers to prohibit or restrict the marketing and distribution of certain products in well-defined circumstances. A harmonised regime for granting access to EU professional markets for firms from third countries, based on an equivalence assessment of third country jurisdictions by the Commission, is introduced.

Directive  2004/39/EC is repealed with effect from 3 January 2017.

Member States have two years to transpose the new rules which will be applicable starting January 2017.

 

h​t​t​p​:​/​/​e​u​r​o​p​a​.​e​u​/​r​a​p​i​d​/​m​i​d​d​a​y​-​e​x​p​r​e​s​s​-​1​2​-​0​6​-​2​0​1​4​.​h​t​m​?​l​o​c​a​l​e​=​e​n

Directive 2014/65/EU
Source O.J. EU No L (Legislation), Edition 173, Year 2014, p.349
Adoption 05/15/2014
Promulgation 06/12/2014
Character Lamfalussy Framework Act
Implementation   Regulation (EU) Nr. 2018/63
  Decision 2017/2441/EU
  Regulation (EU) Nr. 2017/2382
  Decision 2017/2320/EU
  Decision 2017/2318/EU
  Decision 2017/2319/EU
  Regulation (EU) Nr. 2017/2294
  Regulation (EU) Nr. 2017/1944
  Regulation (EU) Nr. 2017/1945
  Regulation (EU) Nr. 2017/1946
  Regulation (EU) Nr. 2017/1943
  Regulation (EU) Nr. 2017/1110
  Regulation (EU) Nr. 2017/1111
  Regulation (EU) Nr. 2017/1093
  Regulation (EU) Nr. 2017/1018
  Regulation (EU) Nr. 2017/1005
  Regulation (EU) Nr. 2017/988
  Regulation (EU) Nr. 2017/981
  Regulation (EU) Nr. 2017/980
  Regulation (EU) Nr. 2017/953
  Directive 2017/593/EU
  Regulation (EU) Nr. 2017/565
  Regulation (EU) Nr. 2017/586
  Regulation (EU) Nr. 2017/589
  Regulation (EU) Nr. 2017/584
  Regulation (EU) Nr. 2017/566
  Regulation (EU) Nr. 2017/573
  Regulation (EU) Nr. 2017/588
  Regulation (EU) Nr. 2017/570
  Regulation (EU) Nr. 2017/571
  Regulation (EU) Nr. 2017/569
  Regulation (EU) Nr. 2017/574
  Regulation (EU) Nr. 2017/575
  Regulation (EU) Nr. 2017/576
  Regulation (EU) Nr. 2017/592
  Regulation (EU) Nr. 2017/591
  Regulation (EU) Nr. 2017/568
  Regulation (EU) Nr. 2017/578
  Regulation (EU) Nr. 2016/824
Legal Basis Art. 53 Abs. 1 AEUV
Legislative Procedure Mitentscheidungsverfahren
 

II. Rahmenrechtsakt (Level 1)

 

1. Versions

  2016/1034/EU
    06/23/2016 (A)
    06/30/2016 (P)
MiFID II (Directive 2014/65/EU) amended by

Directive extending the application date of MiFID II ( Details)

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Ältere Textfassungen
(A) Adoption | (P) Promulgation
 

2. Reformvorhaben

  Proposal

Proposal for a Directive of the European Parliament and of the Council amending Directive  2014/65/EU on markets in financial instruments and Directive  2009/138/EC on the taking-up and pursuit of the business of Insurance and Reinsurance ( Solvency II)

Amendment Directive 2014/65/EU
  Proposal

Proposal for a Directive of the European Parliament and of the Council on the prudential supervision of investment firms and amending Directives  2013/36/EU and  2014/65/EU

Amendment Directive 2014/65/EU
  Proposal

Proposal for a DIRECTIVE OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending Directive  2014/65/EU on markets in financial instruments

Amendment Directive 2014/65/EU
(A) Adoption | (P) Promulgation
 

3. Legislative History

05/15/2014 Signature by EP and Council ABl. L/2014 173/349
05/13/2014 Council decision Europäischer Rat, 2014/9692 Deutsch
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04/15/2014 Report of the European Parliament - 1st reading ABl. C/2017 443/782 Deutsch
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10/26/2012 Report of the European Parliament - 1st reading ABl. C E/2014 72/123 Deutsch
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10/26/2012 Proposal P7_TA(2012)0406 Deutsch
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04/25/2012 Opinion of the European Economic and Social Committee ABL. 2012/C 191/80 Deutsch
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03/22/2012 Opinion of the European Central Bank ABL. 2012/C 161/3 Deutsch
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02/10/2012 Opinion of the European Data Protection Supervisor ABL C/2012/147/ 1 Deutsch
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10/20/2011 Commission staff working paper SEK(2011) 1227 finalKOM Deutsch
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10/20/2011 Proposal KOM(2011) 656 finalKOM Deutsch
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4. Comments

11/29/2011 Deutsches Aktieninstitut, Bundesverband der Deutschen Industrie, und Verband deutscher Treasurer (DAI, BDI und VDT)
Comment on: Kommissionsvorschlag
PDF-Datei
11/30/2011 Die Deutsche Kreditwirtschaft (DK)
Comment on: Kommissionsvorschlag
PDF-Datei
11/30/2011 Boerese Stuttgart - Baden-Württembergische Wertpapierbörse
Comment on: Kommissionsvorschlag
PDF-Datei
01/04/2012 Aktienforum (Österreich)
Comment on: Kommissionsvorschlag
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01/17/2012 Österreichische Bundesarbeitskammer (AK)
Comment on: Kommissionsvorschlag
PDF-Datei
02/10/2012 Bundesrat der Bundesrepublik Deutschland (BR)
Comment on: Kommissionsvorschlag
PDF-Datei
04/16/2012 Centrum für Europäische Politik (CEP)
Comment on: Kommissionsvorschlag
PDF-Datei
05/07/2012 Deutscher Anwaltverein (DAV)
Comment on: Kommissionsvorschlag
PDF-Datei
 

5. Legal Impact

Amendment  Directive 2002/92/EC
Deutsch Englisch Französisch
Repeal  Directive 2004/39/EC
Repeal  Directive 2006/31/EC
Repeal  Directive 2007/44/EC
Repeal  Directive 2008/10/EC
Repeal  Directive 2010/78/EU
Repeal  Directive 2010/78/EU
Amendment  Directive 2011/61/EU
Deutsch Englisch Französisch
 

III. Implementing / Legislative Act (Level 2)

 

1. Implementation

  (EU) No 2018/63
    09/26/2017 (A)
    01/17/2018 (P)

Commission Delegated Regulation (EU) 2018/63 of 26 September 2017 amending Delegated Regulation (EU) 2017/571 supplementing Directive  2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards on the authorisation, organisational requirements and the publication of transactions for data reporting services providers

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  2017/2441/EU
    12/21/2017 (A)
    12/23/2017 (P)

Commission Implementing Decision (EU) 2017/2441 of 21 December 2017 on the equivalence of the legal and supervisory framework applicable to stock exchanges in Switzerland in accordance with Directive  2014/65/EU of the European Parliament and of the Council

  (EU) No 2017/2382
    12/14/2017 (A)
    12/20/2017 (P)

Commission Implementing Regulation (EU) 2017/2382 of 14 December 2017 laying down implementing technical standards with regard to standard forms, templates and procedures for the transmission of information in accordance with Directive  2014/65/EU of the European Parliament and of the Council

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  2017/2320/EU
    12/13/2017 (A)
    12/14/2017 (P)

Commission Implementing Decision (EU) 2017/2320 of 13 December 2017 on the equivalence of the legal and supervisory framework of the United States of America for national securities exchanges and alternative trading systems in accordance with Directive  2014/65/EU of the European Parliament and of the Council

  2017/2318/EU
    12/13/2017 (A)
    12/14/2017 (P)

Commission Implementing Decision (EU) 2017/2318 of 13 December 2017 on the equivalence of the legal and supervisory framework in Australia applicable to financial markets in accordance with Directive  2014/65/EU of the European Parliament and of the Council

  2017/2319/EU
    12/13/2017 (A)
    12/14/2017 (P)

Commission Implementing Decision (EU) 2017/2319 of 13 December 2017 on the equivalence of the legal and supervisory framework applicable to recognised exchange companies in Hong Kong Special Administrative Region in accordance with Directive  2014/65/EU of the European Parliament and of the Council

  (EU) No 2017/2294
    08/28/2017 (A)
    12/13/2017 (P)

Commission Delegated Regulation (EU) 2017/2294 of 28 August 2017 amending Delegated Regulation (EU) 2017/565 as regards the specification of the definition of systematic internalisers for the purposes of Directive  2014/65/EU

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  (EU) No 2017/1944
    06/13/2017 (A)
    10/26/2017 (P)

Commission Implementing Regulation (EU) 2017/1944 of 13 June 2017 laying down implementing technical standards with regard to standard forms, templates and procedures for the consultation process between relevant competent authorities in relation to the notification of a proposed acquisition of a qualifying holding in an investment firm in accordance with Directives  2004/39/EC and  2014/65/EU of the European Parliament and of the Council

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  (EU) No 2017/1945
    06/19/2017 (A)
    10/26/2017 (P)

Commission Implementing Regulation (EU) 2017/1944 of 13 June 2017 laying down implementing technical standards with regard to standard forms, templates and procedures for the consultation process between relevant competent authorities in relation to the notification of a proposed acquisition of a qualifying holding in an investment firm in accordance with Directives  2004/39/EC and  2014/65/EU of the European Parliament and of the Council

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  (EU) No 2017/1946
    07/11/2017 (A)
    10/26/2017 (P)

Commission Delegated Regulation (EU) 2017/1946 of 11 July 2017 supplementing Directives  2004/39/EC and  2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for an exhaustive list of information to be included by proposed acquirers in the notification of a proposed acquisition of a qualifying holding in an investment firm

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  (EU) No 2017/1943
    07/14/2016 (A)
    10/26/2017 (P)

Commission Delegated Regulation (EU) 2017/1943 of 14 July 2016 supplementing Directive  2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards on information and requirements for the authorisation of investment firms

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  (EU) No 2017/1110
    06/22/2017 (A)
    06/23/2017 (P)

Commission Implementing Regulation (EU) 2017/1110 of 22 June 2017 laying down implementing technical standards with regard to the standard forms, templates and procedures for the authorisation of data reporting services providers and related notifications pursuant to Directive  2014/65/EU of the European Parliament and of the Council on markets in financial instruments

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  (EU) No 2017/1111
    06/22/2017 (A)
    06/23/2017 (P)

Commission Implementing Regulation (EU) 2017/1111 of 22 June 2017 laying down implementing technical standards with regard to procedures and forms for submitting information on sanctions and measures in accordance with Directive  2014/65/EU of the European Parliament and of the Council

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  (EU) No 2017/1093
    06/20/2017 (A)
    06/21/2017 (P)

Commission Implementing Regulation (EU) 2017/1093 of 20 June 2017 laying down implementing technical standards with regard to the format of position reports by investment firms and market operators

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  (EU) No 2017/1018
    06/29/2016 (A)
    06/17/2017 (P)

Règlement délégué (UE) 2017/1018 de la Commission du 29 juin 2016 complétant la directive  2014/65/UE du Parlement européen et du Conseil concernant les marchés d'instruments financiers par des normes techniques de réglementation précisant les informations que doivent notifier les entreprises d'investissement, les opérateurs de marché et les établissements de crédit

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  (EU) No 2017/1005
    06/15/2017 (A)
    06/16/2017 (P)

Commission Implementing Regulation (EU) 2017/1005 of 15 June 2017 laying down implementing technical standards with regard to the format and timing of the communications and the publication of the suspension and removal of financial instruments pursuant to Directive  2014/65/EU of the European Parliament and of the Council on markets in financial instruments

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  (EU) No 2017/988
    06/06/2017 (A)
    06/13/2017 (P)

h​t​t​p​:​/​/​e​u​r​-​l​e​x​.​e​u​r​o​p​a​.​e​u​/​l​e​g​a​l​-​c​o​n​t​e​n​t​/​E​N​/​T​X​T​/​?​q​i​d​=​1​4​9​8​5​4​6​7​8​6​0​6​5​&​u​r​i​=​C​E​L​E​X​%​3​A​3​2​0​1​7​R​0​9​8​8

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  (EU) No 2017/981
    06/07/2017 (A)
    06/10/2017 (P)

Commission Implementing Regulation (EU) 2017/981 of 7 June 2017 laying down implementing technical standards with regard to standard forms, templates and procedures for the consultation of other competent authorities prior to granting an authorisation in accordance with Directive  2014/65/EU of the European Parliament and of the Council

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  (EU) No 2017/980
    06/07/2017 (A)
    06/10/2017 (P)

Commission Implementing Regulation (EU) 2017/980 of 7 June 2017 laying down implementing technical standards with regard to standard forms, templates and procedures for cooperation in supervisory activities, for on-site verifications, and investigations and exchange of information between competent authorities in accordance with Directive  2014/65/EU of the European Parliament and of the Council

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  (EU) No 2017/953
    06/06/2017 (A)
    06/07/2017 (P)

Commission Implementing Regulation (EU) 2017/953 of 6 June 2017 laying down implementing technical standards with regard to the format and the timing of position reports by investment firms and market operators of trading venues pursuant to Directive  2014/65/EU of the European Parliament and of the Council on markets in financial instruments

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  2017/593/EU
    04/07/2016 (A)
    03/31/2017 (P)

Commission Delegated Directive (EU) 2017/593 of 7 April 2016 supplementing Directive  2014/65/EU of the European Parliament and of the Council with regard to safeguarding of financial instruments and funds belonging to clients, product governance obligations and the rules applicable to the provision or reception of fees, commissions or any monetary or non-monetary benefits

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  (EU) No 2017/565
    04/25/2016 (A)
    03/31/2017 (P)

Commission Delegated Regulation (EU) 2017/565 of 25 April 2016 supplementing Directive  2014/65/EU of the European Parliament and of the Council as regards organisational requirements and operating conditions for investment firms and defined terms for the purposes of that Directive

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  (EU) No 2017/586
    07/14/2016 (A)
    03/31/2017 (P)

Commission Delegated Regulation (EU) 2017/586 of 14 July 2016 supplementing Directive  2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for the exchange of information between competent authorities when cooperating in supervisory activities, on-the-spot verifications and investigations

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  (EU) No 2017/589
    07/19/2016 (A)
    03/31/2017 (P)

Commission Delegated Regulation (EU) 2017/589 of 19 July 2016 supplementing Directive  2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards specifying the organisational requirements of investment firms engaged in algorithmic trading

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  (EU) No 2017/584
    07/14/2016 (A)
    03/31/2017 (P)

Commission Delegated Regulation (EU) 2017/584 of 14 July 2016 supplementing Directive  2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards specifying organisational requirements of trading venues

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  (EU) No 2017/566
    05/18/2016 (A)
    03/31/2017 (P)

Commission Delegated Regulation (EU) 2017/566 of 18 May 2016 supplementing Directive  2014/65/EU of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards for the ratio of unexecuted orders to transactions in order to prevent disorderly trading conditions

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  (EU) No 2017/573
    06/06/2016 (A)
    03/31/2017 (P)

Commission Delegated Regulation (EU) 2017/573 of 6 June 2016 supplementing Directive  2014/65/EU of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards on requirements to ensure fair and non-discriminatory co-location services and fee structures

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  (EU) No 2017/588
    07/14/2016 (A)
    03/31/2017 (P)

Commission Delegated Regulation (EU) …/... supplementing Directive  2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards on the tick size regime for shares, depositary receipts and exchange traded funds

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  (EU) No 2017/570
    05/26/2016 (A)
    03/31/2017 (P)

Commission Delegated Regulation (EU) 2017/570 of 26 May 2016 supplementing Directive  2014/65/EU of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards for the determination of a material market in terms of liquidity in relation to notifications of a temporary halt in trading

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  (EU) No 2017/571
    06/02/2016 (A)
    03/31/2017 (P)

Commission Delegated Regulation (EU) 2017/571 of 2 June 2016 supplementing Directive  2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards on the authorisation, organisational requirements and the publication of transactions for data reporting services providers

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  (EU) No 2017/569
    05/24/2016 (A)
    03/31/2017 (P)

Commission Delegated Regulation (EU) 2017/569 of 24 May 2016 supplementing Directive  2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for the suspension and removal of financial instruments from trading

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  (EU) No 2017/574
    06/07/2016 (A)
    03/31/2017 (P)

Commission Delegated Regulation (EU) 2017/574 of 7 June 2016 supplementing Directive  2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for the level of accuracy of business clocks

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  (EU) No 2017/575
    06/08/2016 (A)
    03/31/2017 (P)

Commission Delegated Regulation (EU) 2017/575 of 8 June 2016 supplementing Directive  2014/65/EU of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards concerning the data to be published by execution venues on the quality of execution of transactions

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  (EU) No 2017/576
    06/08/2016 (A)
    03/31/2017 (P)

Commission Delegated Regulation (EU) 2017/576 of 8 June 2016 supplementing Directive  2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for the annual publication by investment firms of information on the identity of execution venues and on the quality of execution

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  (EU) No 2017/592
    12/01/2016 (A)
    03/31/2017 (P)

Commission Delegated Regulation (EU) 2017/592 of 1 December 2016 supplementing Directive  2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for the criteria to establish when an activity is considered to be ancillary to the main business

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  (EU) No 2017/591
    12/01/2017 (A)
    03/31/2017 (P)

Commission Delegated Regulation (EU) 2017/591 of 1 December 2016 supplementing Directive  2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for the application of position limits to commodity derivatives

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  (EU) No 2017/568
    05/24/2016 (A)
    03/31/2017 (P)

Commission Delegated Regulation (EU) 2017/568 of 24 May 2016 supplementing Directive  2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for the admission of financial instruments to trading on regulated markets

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  (EU) No 2017/578
    06/13/2016 (A)
    03/13/2017 (P)

Commission Delegated Regulation (EU) 2017/578 of 13 June 2016 supplementing Directive  2014/65/EU of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards specifying the requirements on market making agreements and schemes

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  (EU) No 2016/824
    05/25/2016 (A)
    05/26/2016 (P)

Commission Implementing Regulation (EU) 2016/824 of 25 May 2016 laying down implementing technical standards with regard to the content and format of the description of the functioning of multilateral trading facilities and organised trading facilities and the notification to the European Securities and Markets Authority according to Directive  2014/65/EU of the European Parliament and of the Council on markets in financial instruments

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IV. CESR / ESMA Announcements (Level 3)

10/2016

Guidelines - Transaction reporting, order record keeping and clock synchronisation

ESMA/2016/1452  
 
  12/2015

Consulation Paper - Guidelines on transaction reporting, reference data, order record keeping & clock synchronisation

CESR/2015/1909 PDF-Datei
07/2016

Guidelines on cross-selling practices

ESMA/2016/574  
 
  12/2015

Final Report - Guidelines on cross-selling practices

CESR/2015/1861 PDF-Datei
02/2016

Guidelines on complex debt instruments and structured deposits

ESMA/2015/1787  
 
  11/2015

Final Report - Guidelines on complex debt instruments and structured deposits

CESR/2015/1783 PDF-Datei
01/2017

Guidelines for the assessment of knowledge and competence

ESMA/71-1154262120-153  
 
  12/2015

Final Report - Guidelines for the assessment of knowledge and competence

CESR/2015/1886 PDF-Datei
05/2018

Q&A On MiFID II and MiFIR market structures

ESMA/70-872942901-38  
05/2018

Q&A On MiFID II and MiFIR transparency topics

ESMA/70-872942901-35  
03/2018

Q&A On MiFID II and MiFIR commodity derivatives topics

ESMA/70-872942901-36  
09/2017

Guidelines on the management body of market operators and data reporting services providers

ESMA/70-154-271  
 
  10/2016

Consulation Paper - Guidelines on specific notions under MiFID II related to the management body of market operators and data reporting services providers

CESR/35-43-620 PDF-Datei
05/2018

Guidelines on certain aspects of the MiFID II suitability requirements

ESMA/35-43-869  
 
  7/2017

Consulation Paper

CESR/35-43-748 PDF-Datei
05/2018

Q&A on MiFID II and MiFIR investor protection and intermediaries topics

ESMA/35-43-349  
06/2018

Q&A On ESMA’s temporary product intervention measures on the marketing, distribution or sale of CFDs and Binary options to retail clients

ESMA/35-36-1262  
03/2017

Q&A Relating to the provision of CFDs and other speculative products to retail investors under MiFID

ESMA/35-36-794  
06/2012

Q&A on Investor Protection & Intermediaries

ESMA/2012/382  
05/2010

Q&A on MiFID - Common positions agreed by CESR Me mbers in the area of the Secondary Markets Standing Committee

CESR/10-591  
04/2010

Q&A - Understanding the def inition of advice under MiFID

CESR/10-293  
11/2009

MiFID complex and non complex financial instruments for the purposes of the Directive’s appropriateness requirement s

CESR/09-559  
05/2007

Best Execution under MiFID

CESR/07-320  
 

V. Umsetzung in den Mitgliedstaaten

 

1. Implementation in Germany

06/23/2017 (A)
06/24/2017 (P)

 Zweites Gesetz zur Novellierung von Finanzmarktvorschriften auf Grund europäischer Rechtsakte

Deutsch
(A) Adoption | (P) Promulgation
 

2. Implementation in other Member States

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VI. Other

 

1. Other

BaFin
05/09/2018

Devisentermingeschäfte im Rahmen der  MiFID II

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BaFin
05/04/2018

FAQ zu  MiFID II-Wohlverhaltsregeln nach §§ 63 ff.  WpHG

BaFin
02/20/2018

Aufsichtsrechtliche Einordnung von sog. Initial Coin Offerings (ICOs) zugrunde liegenden Token bzw. Kryptowährungen als Finanzinstrumente im Bereich der Wertpapieraufsicht

PDF-Datei
BaFin
10/27/2017

Aufzeichnungs- und Aufbewahrungspflichten

PDF-Datei
BaFin
10/27/2017

Kostentransparenz

PDF-Datei
BaFin
10/27/2017

Product Governance

PDF-Datei
BaFin
10/27/2017

Geeignetheitsprüfung und Geeignetheitserklärung, Angemessenheitsprüfung

PDF-Datei
BaFin
10/27/2017

Zuwendungen/Research

PDF-Datei
BaFin
10/27/2017

Geeignetheitsprüfung und Geeignetheitserklärung, Angemessenheitsprüfung

PDF-Datei
ESMA
09/28/2017

Final Report trading obligation for derivatives

PDF-Datei
ESMA
07/02/2017

Final Report Guidelines on  MiFID II product governance requirements

PDF-Datei
ESMA
10/06/2016

Consulation Paper - Guidelines on the calibration, publication and reporting of trading halts

PDF-Datei
 

VII. Literature

Barbara Roth, Denise Blessing

Die neuen Vorgaben nach  MiFID II - Teil 2 - Die Aufzeichnugnspflichten betreffend Telefongespräche und elektronischer Kommunikation
Navigationspfeil CCZ 2017, 8 ff.

Barbara Roth, Denise Blessing

Die neuen Vorgaben nach  MiFID II - Teil 3 - Die Zulässigkeit und Offenlegung von Zuwendungen
Navigationspfeil CCZ 2017, 145 ff.

Barbara Roth, Denise Blessing

Die neuen Vorgaben nach  MiFID II - Teil 1 - Änderungen im Rahmen der Anlageberatung und Geeignetheitsprüfung
Navigationspfeil CCZ 2016, 258 ff.

Danny Busch

Product Governance und Produktintervention unter  MiFiD II/ MiFIR
Navigationspfeil WM 2017, 409 ff.

Petra Buck-Heeb

Compliance bei vertriebsbezogener Product Governance – Neuerungen durch die  MiFID II bzw. das  Kleinanlegerschutzgesetz
Navigationspfeil CCZ 2016, 2 ff.

Thomas M.J. Möllers, Mauritz Christopher Poppele

Paradigmenwechsel durch  MiFID II: Divergierende Anlegerleitbilder und neue Instrumentarien wie Qualitätskontrolle und Verbote
Navigationspfeil ZGR 2013, 437 ff.

Language:
Deutsch Deutsch
English Englisch
Francais Französisch
Chinese Chinesisch

Legende

Hyperlink int./ext. Verlinkung
Externer Link Externer Hyperlink
Status des Rechtsaktes
Aufgehoben Aufgehoben
Vorhaben Vorhaben
Inkraft Inkraft
Unbekannt Unbekannt
Dokumente
Deutsch Deutsche Fassung
Englisch Englische Fassung
Französisch Franz. Fassung
PDF-Datei Sonstige PDF-Datei
Dokument Sonstiges Dokument
Externer Link Externes Dokument

Overview

I. General Information
II. Rahmenrechtsakt (Level 1)
1. Versions
2. Reformvorhaben
3. Legislative History
4. Comments
5. Legal Impact
III. Implementing / Legislative Act (Level 2)
1. Implementation
IV. CESR / ESMA Announcements (Level 3)
V. Umsetzung in den Mitgliedstaaten
1. Implementation in Germany
2. Implementation in other Member States
a) Austria
VI. Other
1. Other
VII. Literature

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