Markets in Financial Instruments Directive II (MiFID II) and Swiss FinSA Regulatory Information

The revised Markets in Financial Instruments Directive II (MiFID II) and the accompanying Markets in Financial Instruments Regulation (MiFIR) is a European Directive that came into force on 3 January 2018.

 

It is a comprehensive regulatory regime which affects how firms carry out investment business and ancillary activities, organise their internal systems and controls, and conduct business with their customers across the European Economic Area.

 

The Swiss Financial Services Act (FinSA) seeks to protect clients of financial service providers and to establish comparable conditions for the provision of financial services by financial service providers, and thus contributes to enhancing the reputation and competitiveness of Switzerland’s financial centre.  FinSA applies to persons providing financial services commercially in Switzerland or for clients in Switzerland.  The Act establishes the requirements for honesty, diligence, and transparency in the provision of financial services and governs the offering of financial instruments.  Financial instruments are defined to include equities (including participation certificates, dividend rights certificates, convertible bonds) and debt securities, derivatives, units in collective investment schemes, structured products, and certain types of deposits.  FinSA was enacted in 2020 and its provisions come fully into force after a transition period ending 1 January 2022.

 

BNY Mellon is required to provide information to our clients about certain of these MiFID II and Swiss FinSA provisions. Updates to this information will be published on this webpage.

 


 

MiFID II RTS 28 Reports - Professional Clients

 

Effective 1st December 2021, following the implementation of PS21/20 “Changes to UK MiFID’s conduct and organisational requirements”, the requirement to produce RTS 27 and 28 Reports under UK MiFID rules is no longer in force. Reports covering prior periods can be accessed in our report archive.

 

 

2022 Reports

 

FULL REPORT TOP FIVE
VENUES
The Bank of New York Mellon SA/NV
Currency Derivatives (Execution) (PDF - 248KB)
CSV (1 KB)
The Bank of New York Mellon SA/NV
Agency Securities Lending and Agency Cash Investment Securities Financing: Transactions, Bonds and Money Market Instruments (PDF - 78KB)
CSV (2 KB)
   

 

 

2021 Reports

 

FULL REPORT TOP FIVE
VENUES
The Bank of New York Mellon SA/NV
Currency Derivatives (Execution) (PDF - 248KB)
CSV (1 KB)
The Bank of New York Mellon SA/NV
Agency Securities Lending and Agency Cash Investment Securities Financing: Transactions, Bonds and Money Market Instruments (PDF - 78KB)
CSV (2 KB)
   

 

 

2020 Reports

 

FULL REPORT TOP FIVE
VENUES
The Bank of New York Mellon SA/NV
Currency Derivatives (Execution) (PDF - 250KB)
CSV (1 KB)
The Bank of New York Mellon SA/NV
Agency Securities Lending and Agency Cash Investment Securities Financing: Transactions, Bonds and Money Market Instruments (PDF - 257KB)
CSV (2 KB)
   

 

 

2019 Reports

 

FULL REPORT TOP FIVE
VENUES
The Bank of New York Mellon SA/NV
Currency Derivatives (Execution) (PDF - 714 KB)
CSV (1 KB)
The Bank of New York Mellon SA/NV
Agency Securities Lending and Agency Cash Investment Securities Financing: Transactions, Bonds and Money Market Instruments (PDF - 435 KB)
CSV (2 KB)

 

 

 

MiFID II RTS 27 Reports

 


The Bank Of New York Mellon SA/NV

 

On 16th February 2021 the EU Parliament & Council adopted Directive (EU) 2021/338 (amending directive). This included a temporary suspension of the requirement to publish RTS 27 reports until 28th February 2023.

 

PERIOD LINK TO ZIP FILE
Q3 2020 Download Reports & Notes (2.9 MB)
Q2 2020 Download Reports & Notes (3.3 MB)
Q1 2020 Download Reports & Notes (3.3 MB)
Q4 2019 Download Reports & Notes (2.9 MB)
Q3 2019 Download Reports & Notes (4 MB)
Q2 2019 Download Reports & Notes (4 MB)
Q1 2019 Download Reports & Notes (4 MB)
Q4 2018 Download Reports & Notes (3.34 MB)
Q3 2018 Download Reports & Notes (2.28 MB)
Q2 2018 Download Reports & Notes (2.8 MB)
Q1 2018 Download Reports & Notes (2.41 MB)