Guidelines

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05/02/2018 | ESMA35-43-620 Guidelines on MiFID II product governance requirements 2 Table of Contents I. Scope ........................................ ........................................ ........................................ . 3 II. Purpose ........................................ ........................................ ...................................... 3 III. Definitions ........................................ ........................................ ............................... 4 IV. Compliance and reporting obligations ........................................ ............................. 4 V. Guidelines on the application of Articles 16(3) and 24(2) of MIFID II ........................... 5 General ........................................ ........................................ ................................ 5 Guidelines for manufacturers.

creation, development, issuance or design of that product, including when advising corporate issuers on the launch of a new product; ‘distributor’ means, taking into account Recital 15 and Article 10(1) of the MiFID II Delegated Directive, a firm that offers, recommends or sells an investment product and service to a client. IV.

  Guidelines, Product, Design