Q&A · ESMA

Post-sale reporting

Answered

Read the official text on the ESMA website(opens in a new tab)

AI-generated Summary

Under Article 62(1) of the MiFID II Delegated Regulation, a firm need not report again each time the same depreciation threshold is crossed within a reporting period; a new report is due only when a further threshold is exceeded.

Details

Reference	ESMA_QA_1812
Issuer	ESMA
Published	23 Mar 2018
Answered	23 Mar 2018
Submitted	23 Mar 2018
ESMA topics	Reporting to clients
Earlier Q&A document	ESMA 35-43-349 MiFID II Q&As Investor protection Ch. 8, question 12

Provisions it relates to

Article 25 MiFID II · Assessment of suitability and appropriateness and reporting to clients
MiFID II
Inferred · 80%
MiFID II (whole act)
Explicit reference

Documents it refers to

Delegated actIn forceExplicit reference · 90%
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
European Commission · 31 Mar 2017 · EUR-Lex
AI summaryThe main MiFID II Delegated Regulation: defines key terms (such as investment advice, systematic internaliser, algorithmic and high-frequency trading, and direct electronic access) and sets detailed organisational requirements and operating conditions for investment firms, including compliance, conflicts of interest, remuneration, client information, suitability and appropriateness, best execution, client order handling, reporting to clients, record keeping and transaction-level obligations.