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CESR publishes Mifid Q&A

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    • David Benyon
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BRUSSELS – The Committee of European Securities Regulators (CESR) has published questions and answers on the Markets in Financial Instruments Directive (Mifid), implemented last year.

Issues covered by the document include how an investment firm can ensure customer information continues to be reliable, and advice for the continued provision of services after the firm has judged them inappropriate and the client has been warned of this.

Other issues focus on Article 48 and details of allocation polices, and whether Article 48 applies to investment firms providing portfolio management services.

CESR stresses the answers do not constitute standards, guidelines or recommendations and are not legally binding.

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