Expectations for firms using tied agents under MiFID II

Topic area:
Status: 09.02.2022 |
Archiviert
Initiative
Official name
Supervisory Briefing on supervisory expectations in relation to firms using tied agents in the MiFID II framework
Type
Other
Level 3 / Other
Initiator
ESMA
Submitted
Doc. code
ESMA35-43-2900
Summary
Status
Status

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Current version
Final version
02.02.2022
Next step
Entry into force and application
Entry into force

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Application date

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Scope
Relevant for

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Associated initiatives
Level 1
MiFID II (binding, Main version, EU)
Level 2
–
Level 3 / Other
–

Source: ESMA, ESMA35-43-2900, 2022