The questions need to set off on the client type and then drill down on:
Market transparency
• Meldung von Geschäften
• Portfolio Compression
• Systemis Internalisier
• Pre- and post-trade transparency
Marktinfrastructur
• Positionlimits
• Exchanges & Trading Course requirement ( incl. Central clearing )
• Algorithmic trading / HFT
• Market Maker
Investor Protection
• Best Execution
• Execution-Only
• Independent advice
• Product Governance
• Payments or Provision fees
Governance & Financial supervisors & authorities
• recording and retention obligations
• Corporate Governance
• Conflicts of interest
• Legal authorities (FSA/BaFIN)
Regulatory base is:
MiFID II RL/2014/65/EU:
http://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:32014L0065
MIFIR RL 2014/600/EU
http://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:32014R0600
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