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.
Frequently Asked Client Questions - MiFID II Regulatory Information Document
EMEA Order Handling and Execution Policy (effective 1 Nov 2019)
EMEA Order Handling and Execution Policy – List of Execution Venues (effective 1 Nov 2019)
MIFID II RTS 27 Reports and accompanying Notes for BNY Mellon Capital Markets EMEA Limited
MIFID II RTS 27 Reports and accompanying Notes for The Bank of New York Mellon London branch
MIFID II RTS 27 Reports and accompanying Notes for The Bank of New York Mellon SA/NV
- The Bank of New York Mellon, London Branch Financial Instruments (excluding Derivatives) Brokerage Terms (effective 9 December 2019). These Terms & Conditions will apply to fixed income brokerage and execution services provided by The Bank of New York Mellon, London Branch until 31 December 2021.
- The Bank of New York Mellon, London Branch Financial Instruments (excluding Derivatives) Brokerage Terms (effective 1 January 2022)
- Maximum Commission from BNY Mellon Capital Markets LLC to The Bank of New York Mellon, London Branch (effective 9 December 2019)
- FX Disclosures
- Swiss FinSA
2021 MiFID II RTS 28 Reports – Professional Clients
2020 MiFID II RTS 28 Reports – Professional Clients
2019 MiFID II RTS 28 Reports – Professional Clients
MIFID II RTS 27 Reports
CURRENCY DERIVATIVES
The Bank Of New York Mellon London branch
| PERIOD | LINK TO ZIP FILE |
|---|---|
| Q3 2020 | Download Reports & Notes (22 MB) |
| Q2 2020 | Download Reports & Notes (22 MB) |
| Q1 2020 | Download Reports & Notes (21.8 MB) |
| Q4 2019 | Download Reports & Notes (19.1 MB) |
| Q3 2019 | Download Reports & Notes (21 MB) |
| Q2 2019 | Download Reports & Notes (20 MB) |
| Q1 2019 | Download Reports & Notes (16 MB) |
| Q4 2018 | Download Reports & Notes (11.3 MB) |
| Q3 2018 | Download Reports & Notes (8.52 MB) |
| Q2 2018 | Download Reports & Notes (15.8 MB) |
| Q1 2018 | Download Reports & Notes (32 MB) |
The Bank Of New York Mellon SA/NV
| 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) |
CAPITAL MARKETS
BNY Mellon Capital Markets EMEA Limited
| PERIOD | LINK TO ZIP FILE |
|---|---|
| Q4 2019 | Download Report & Notes (724 KB) |
| Q3 2019 | Download Report & Notes (703 KB) |
| Q2 2019 | Download Report & Notes (708 KB) |
| Q1 2019 | Download Report & Notes (498 KB) |
| Q4 2018 | Download Report & Notes (426 KB) |
| Q3 2018 | Download Report & Notes (521 KB) |
| Q2 2018 | Download Report & Notes (512 KB) |
| Q1 2018 | Download Reports & Notes (523 KB) |
The Bank Of New York Mellon London branch
| PERIOD | LINK TO ZIP FILE |
|---|---|
| Q3 2020 | Download Reports & Notes (730 KB) |
| Q2 2020 | Download Reports & Notes (734 KB) |
| Q1 2020 | Download Reports & Notes (738 KB) |
| Q4 2019 | Download Reports & Notes (720 KB) |