Q&A · ESMA

Post-sale reporting

Answered

AI-generated Summary

The 10% depreciation report under Article 62(1) of the MiFID II Delegated Regulation is owed to professional as well as retail clients.

Details

Reference	ESMA_QA_1810
Issuer	ESMA
Published	10 Nov 2017
Answered	10 Nov 2017
Submitted	10 Nov 2017
ESMA topics	Reporting to clients
Earlier Q&A document	ESMA 35-43-349 MiFID II Q&As on Investor protection Ch. 8, question 10

Article 25 MiFID II · Assessment of suitability and appropriateness and reporting to clients
MiFID II
Inferred · 85%
MiFID II (whole act)
Explicit reference

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.