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      Page 43 - 期貨和衍生品行業(yè)監(jiān)管動態(tài)(2024年7月刊)
      P. 43

      期貨和衍生品行業(yè)監(jiān)管動態(tài)
      
      
      
      
                         ESMA Consults on Firms’ Order Execution Policies under MiFID II (2024/7/16)
      
      
                              The European Securities and Markets Authority (ESMA), the EU’s financial
      
                         markets regulator and supervisor, today launched a consultation on draft technical
      
                         standards specifying the criteria for how investment firms establish and assess the
      
                         effectiveness of their order execution policies.
      
      
                              The objective of the proposed technical standards is to foster investor protection
      
                         by enhancing investment firms’ order execution.
      
      
                              ESMA is seeking stakeholder input on:
      
      
                              the establishment of an investment firm’s order execution policy. This includes
      
                         the classification of financial instruments in which firms execute client orders and the
      
                         initial selection of venues for the order execution policy;
      
      
                              the investment firm’s procedures to monitor and regularly assess the
      
                         effectiveness of its order execution arrangements and order execution policy;
      
      
                              the investment firm’s execution of client orders through own account dealing;
      
                         and on
      
      
                              how an investment firm should deal with client instructions.
      
      
      
                              Further information on the MiFID II / MiFIR review and the upcoming
      
                         consultations can be found on the dedicated webpage.
      
      
                              Next steps
      
      
                              ESMA will consider all comments received by 16 October 2024.
      
      
                              Based on the input received, ESMA will prepare the final report for subsequent
      
                         submission of the final draft technical standards to the European Commission.
      
      
                         https://www.esma.europa.eu/press-news/esma-news/esma-consults-firms-order-execut
      
                         ion-policies-under-mifid-ii
      
      
      
      
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