MiFID II Compliance

EXECUTIVE SUMMARY

MiFID II refers to the Markets in Financial Instruments Directive 2014/65/EU. It has been applicable across the European Union since January 2018 and replaces the previous MiFID directive from 2004. The directive ensures a fairer, safer and more efficient financial market and facilitates greater transparency and oversight of banks and investment firms. New reporting requirements and tests increase the amount of information available and reduce the use of dark pools and OTC trading.

The revised MiFID rules also strengthen the protection of investors by introducing requirements on disclosure of data on trading activity to the public and to regulators and supervisors. In particular, MiFID II requires banks and investment firms to record all telephone calls and electronic communication relating to any financial transactions. Such records must be secured for up to seven years and shall be available to clients and competent authorities if necessary. 

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