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ARTICLE · 06 JULY 2017

Regulation Round Up (June 2017)

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The ESMA published its final report on guidelines on product governance requirements under the MiFID II Directive (2004/65/EU). The guidelines (set out in Annex IV) to the final report aim to promote greater convergence in the implementation and application of the MiFID II requirements on product governance.

United KingdomGovernment, Public Sector
Andrew Wingfield
Andrew Wingfield
John Verwey
John Verwey
Claudia Mercer
Claudia Mercer
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2 June

The ESMA published its final report on guidelines on product governance requirements under the MiFID II Directive (2004/65/EU). The guidelines (set out in Annex IV) to the final report aim to promote greater convergence in the implementation and application of the MiFID II requirements on product governance.

The FCA published Market Watch No.52, which expressed concerns on some firms engaging in dividend arbitrage. Firms which identify areas of concern relating to this practice should conduct an assessment and also consider whether it should make a disclosure to the FCA under Principle 11 of the FCA's Principles for Businesses.

6 June

ESMA published an updated version of its questions and answers (Q&As) on investor protection topics under the MiFID II Directive (2014/65/EU) and the Markets in Financial Instruments Regulation (Regulation 600/2014) (MiFIR). ESMA added 14 new Q&As covering information on costs and charges, post-sale reporting, and

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