International & EU

Related information

We have produced a factsheet which contains help and information for financial advisers who wish to continue to advise their clients who live in Europe after 1 November 2007.

Financial advisers and passporting [PDF]

This page contains links to FSA documents relating to the Markets in Financial Instruments Directive (MiFID). There are also links to material published on other websites in relation to MiFID.

To help you find what you need quickly, try our new key topics pages.

 

FSA documents Date
Supervision of branches under MiFID [PDF] July 2008
MiFID Transparency Calculations June 2008
Guidelines for Investment Firms using TDMs [PDF]
 November 2007
MiFID implementation and approved persons changes - changes to the FSA Register November 2007
PS07/18: Conduct of Business regime October 2007
List of Trading Venues and Identification Codes October 2007
Statement of FSA Supervisory Priorities arising from November Handbook changes
 September 2007
Markets in Financial Instruments Directive (MiFID) - Article 4 notification to the European Commission September 2007
MiFID Permissions and Notifications Guide - an update [PDF] September 2007
PS07/15 Best Execution - Feedback on DP06/3 and CP06/19 (part) August 2007 August 2007
Transaction Reporting Users Pack (TRUP) [PDF] July 2007
PS07/14: Reforming Conduct of Business Regulation - Final feedback on CP06/19 July 2007
CP07/16: Consequential Handbook Amendments (arising from implementation of MiFID and creation of NEWCOB) July 2007
List of Co-operation Agreements for Outsourcing of Retail Portfolio Management to Third Country Providers under Article 15(5) MiFID Level 2 [PDF] June 2007
PS07/6: Reforming Conduct of Business Regulation - Feedback on CP06/19 and CP06/20 May 2007
MiFID Permissions and Notifications Guide [PDF] May 2007
CP07/9 - Conduct of Business regime: non-MiFID deferred matters May 2007
Impact of MiFID on Authorised Professional Firms April 2007
PS07/5 - Perimeter guidance relating to MiFID- covering the scope of MiFID and CRD [PDF] March 2007
The FSA Approach to Implementation [PDF] - Presentation by Hector Sants at the UBS MiFID Conference
February 2007
MiFID - Article 4 notification to the European Commission January 2007
PS07/3: 'Reforming the Approved Persons regime - Policy Statement on Section IV of CP06/15: Markets in Financial Instruments Directive' January 2007
PS07/2: Implementing the Markets in Financial Instruments Directive (MiFID) [PDF] January 2007
PS06/13: Organisational systems and controls - common platform for firms [PDF] November 2006
The overall impact of MiFID November 2006
MiFID Implementation: Cost Survey of the UK Investment Industry [PDF]
Report prepared by LECG 		October 2006
CP06/20: Financial promotion and other communications - Including draft Handbook text for NEWCOB 4 and 5 October 2006
CP06/19: Reforming Conduct of Business Regulation - Including proposals for implementing relevant provisions of the Markets in Financial Instruments Directive, and related changes to SYSC, DISP, TC, SUP and other Handbook modules.
 October 2006
Implementation plan for MiFID - Update [PDF] October 2006
Implementing MiFID’s Client Categorisation requirements – an informal consultation August 2006
CP06/15: Reforming the Approved Persons Regime August 2006
CP06/14: Implementing MiFID for firms and markets
This included Annex 5 Handbook text and Addendum to CP06/14 on Capital/Professional Indemnity Insurance (PII) requirements. 		July 2006
CP06/9: Organisational systems and controls: common platform for firms May 2006
DP06/3: Implementing MiFID's best execution requirements May 2006
Joint implementation plan for MiFID [PDF]
A joint paper by HM Treasury and the FSA 		May 2006
Planned revised structure for the COB sourcebook [PDF] May 2006
Planning for MiFID [PDF] November 2005
International Regulatory Outlook [PDF] November 2005

 

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Industry guidance Date
External documents MiFID Connect's Guideline on the application of the Investment Research Requirements under the FSA rules implementing MiFID in the UK. August 2007
External documents MiFID Connect's Guideline on the application of the Suitability and Appropriateness requirements under the FSA rules implementing MiFID in the UK August 2007
External documents MIFID Connect's Guideline on the application of the outsourcing requirements under the FSA rules implementing MIFID and the CRD in the UK
 May 2007

 

 
External links Date
Level 1

Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004
on markets in financial instruments amending Council Directives 85/611/EEC and 93/6/EEC and Directive 2000/12/EC of the European Parliament and of the Council and repealing Council Directive 93/22/EEC

The European Commission are holding Transposition meetings to discuss aspects of the Level 1 text with Member States. Minutes of these meetings will shortly be available on the European Commission website 		April 2004
Level 2

Commission Regulation implementing Directive 2004/39/EC of the European Parliament and of the Council

 September 2006
Commission Directive implementing Directive 2004/39/EC of the European Parliament and of the Council September 2006
Background note for the draft implementing Directive February 2006

Background note for the draft implementing Regulation

February 2006

Formal Request for Technical Advice on Possible Implementing Measures on MiFID

 February 2005

1st CESR final advice

 January 2005
2nd CESR final advice April 2005
Level 3 CESR's Recommendations on the passport under MiFID May 2007
CESR's Protocol on MiFID Passport Notifications May 2007
CESR's Q&A on Best Execution May 2007
CESR's Recommendations - Inducements under MiFID May 2007
CESR's Guidelines on MiFID Transaction reporting May 2007
CESR's Level 3 Guidelines and recommendations on Publication and Consolidation of Markets Data February 2007
CESR's Level 3 Guidelines and recommendations on the List of Minimum Records under Article 51(3) of the MiFID Implementing Directive
February 2007
CESR's consultation on Best Execution under MiFID February 2007
CESR's Consultation on CESR Level 3 Guidelines on MiFID transaction reporting February 2007
CESR's consultation on the Use of reference data standard codes in transaction reporting January 2007
CESR's Consultation on The Passport under MiFID December 2006
CESR's consultation on inducements under MiFID December 2006

CESR adopts its MiFID Level 3 work program for 2007 and launches work with a consultation on record keeping requirements and market data consolidation

CESR adopts its workplan to deliver supervisory convergence in the application of MiFID (Ref. CESR/06-413).

 October 2006

 

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