Markets in Financial Instruments Directive – MiFID

• Apr 04: DIRECTIVE 04/39/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
  of 21 Apr 04 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.
• Apr 06: COMMISSION REGULATION (EC) No 1287/06 of 10 Aug 06 implementing Directive 04/39/EC of the European Parliament and of the Council as regards recordkeeping obligations for investment firms, transaction reporting, market transparency, admission of financial instruments to trading, and defined terms for the purposes of that Directive
• Apr 06: COMMISSION DIRECTIVE 06/73/EC of 10 Aug 06 implementing Directive 04/39/EC 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

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More Key MiFID Documents

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FSA documents	Date
Supervision of branches under MiFID [PDF]	Sep 08
MiFID Transparency Calculations	Jun 08
Guidelines for Investment Firms using TDMs [PDF]	Nov 07
MiFID implementation and approved persons changes – changes to the FSA Register	Nov 07
PS07/18: Conduct of Business regime	Oct 07
List of Trading Venues and Identification Codes	Oct 07
Statement of FSA Supervisory Priorities arising from Nov Handbook changes	Sep 07
Markets in Financial Instruments Directive (MiFID) – Article 4 notification to the European Commission	Sep 07
MiFID Permissions and Notifications Guide – an update [PDF]	Sep 07
PS07/15 Best Execution – Feedback on DP06/3 and CP06/19 (part) Aug 07	Aug 07
Transaction Reporting Users Pack (TRUP) [PDF]	July 07
PS07/14: Reforming Conduct of Business Regulation – Final feedback on CP06/19	July 07
CP07/16: Consequential Handbook Amendments (arising from implementation of MiFID and creation of NEWCOB)	July 07
List of Co-operation Agreements for Outsourcing of Retail Portfolio Management to Third Country Providers under Article 15(5) MiFID Level 2 [PDF]	Jun 07
PS07/6: Reforming Conduct of Business Regulation – Feedback on CP06/19 and CP06/20	May 07
MiFID Permissions and Notifications Guide [PDF]	May 07
CP07/9 – Conduct of Business regime: non-MiFID deferred matters	May 07
Impact of MiFID on Authorised Professional Firms	Apr 07
PS07/5 – Perimeter guidance relating to MiFID- covering the scope of MiFID and CRD [PDF]	Mar 07
The FSA Approach to Implementation [PDF] – Presentation by Hector Sants at the UBS MiFID Conference	Feb 07
MiFID – Article 4 notification to the European Commission	Jan 07
PS07/3: ‘Reforming the Approved Persons regime – Policy Statement on Section IV of CP06/15: Markets in Financial Instruments Directive’	Jan 07
PS07/2: Implementing the Markets in Financial Instruments Directive (MiFID) [PDF]	Jan 07
PS06/13: Organisational systems and controls – common platform for firms [PDF]	Nov 06
The overall impact of MiFID	Nov 06
MiFID Implementation: Cost Survey of the UK Investment Industry [PDF]Report prepared by LECG	Oct 06
CP06/20: Financial promotion and other communications – Including draft Handbook text for NEWCOB 4 and 5	Oct 06
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.	Oct 06
Implementation plan for MiFID – Update [PDF]	Oct 06
Implementing MiFID’s Client Categorisation requirements – an informal consultation	Aug 06
CP06/15: Reforming the Approved Persons Regime	Aug 06
CP06/14: Implementing MiFID for firms and marketsThis included Annex 5 Handbook text and Addendum to CP06/14 on Capital/Professional Indemnity Insurance (PII) requirements.	July 06
CP06/9: Organisational systems and controls: common platform for firms	May 06
DP06/3: Implementing MiFID’s best execution requirements	May 06
Joint implementation plan for MiFID [PDF]A joint paper by HM Treasury and the FSA	May 06
Planned revised structure for the COB sourcebook [PDF]	May 06
Planning for MiFID [PDF]	Nov 05
International Regulatory Outlook [PDF]	Nov 05

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.	Aug 07
External documents	MiFID Connect’s Guideline on the application of the Suitability and Appropriateness requirements under the FSA rules implementing MiFID in the UK	Aug 07
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 07

External links
		Date
	Level 1
	Directive 04/39/EC of the European Parliament and of the Council of 21 Apr 04 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	Apr 04
	Level 2
	Commission Regulation implementing Directive 04/39/EC of the European Parliament and of the Council	Sep 06
	Commission Directive implementing Directive 04/39/EC of the European Parliament and of the Council	Sep 06
	Background note for the draft implementing Directive	Feb 06
	Background note for the draft implementing Regulation	Feb 06
	Formal Request for Technical Advice on Possible Implementing Measures on MiFID	Feb 05
	1st CESR final advice	Jan 05
	2nd CESR final advice	Apr 05
	Level 3
	CESR’s Recommendations on the passport under MiFID	May 07
	CESR’s Protocol on MiFID Passport Notifications	May 07
	CESR’s Q&A on Best Execution	May 07
	CESR’s Recommendations – Inducements under MiFID	May 07
	CESR’s Guidelines on MiFID Transaction reporting	May 07
	CESR’s Level 3 Guidelines and recommendations on Publication and Consolidation of Markets Data	Feb 07
	CESR’s Level 3 Guidelines and recommendations on the List of Minimum Records under Article 51(3) of the MiFID Implementing Directive	Feb 07
	CESR’s consultation on Best Execution under MiFID	Feb 07
	CESR’s Consultation on CESR Level 3 Guidelines on MiFID transaction reporting	Feb 07
	CESR’s consultation on the Use of reference data standard codes in transaction reporting	Jan 07
	CESR’s Consultation on The Passport under MiFID	Dec06
	CESR’s consultation on inducements under MiFID	Dec06
	CESR adopts its MiFID Level 3 work program for 07 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).	Oct 06