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.

 

 

 

 

2021 MiFID II RTS 28 Reports – Professional Clients

 

 

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 MiFID II RTS 28 Reports – Professional Clients

 

 

FULL REPORT TOP FIVE
VENUES
The Bank of New York Mellon London Branch Bonds (Execution) (PDF - 267 KB) CSV (2 KB)
The Bank of New York Mellon London Branch Money Market Instruments (Execution) (PDF - 269 KB)  CSV (2 KB)
The Bank of New York Mellon London Branch Currency Derivatives (Execution) (PDF - 246KB) CSV (1 KB)
The Bank of New York Mellon SA/NV
Currency Derivatives (Execution) (PDF - 250KB)
CSV (1 KB)
The Bank of New York Mellon London Branch
Agency Securities Lending and Agency Cash Investment Securities Financing Transactions, Bonds and Money Market Instruments (PDF - 288KB)
CSV (5 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 MiFID II RTS 28 Reports – Professional Clients

FULL REPORT TOP FIVE
VENUES
BNY Mellon Capital Markets EMEA Limited
Equities – Shares & Depositary Receipts – Not subject to tick size regime (Transmission) (PDF - 732 KB)
CSV (2 KB)
BNY Mellon Capital Markets EMEA Limited
Equities – Shares & Depositary Receipts, Tick size liquidity bands 1 and 2 (Transmission) (PDF - 731 KB)
CSV (2 KB)
BNY Mellon Capital Markets EMEA Limited
Equities – Shares & Depositary Receipts, Tick size liquidity bands 3 and 4 (Transmission) (PDF - 731 KB)
CSV (2 KB)
BNY Mellon Capital Markets EMEA Limited
Equities – Shares & Depositary Receipts, Tick size liquidity bands 5 and 6 (Transmission) (PDF - 732 KB)
CSV (2 KB)
BNY Mellon Capital Markets EMEA Limited
Structured finance instruments (Transmission) (PDF - 727 KB)
CSV (2 KB)
BNY Mellon Capital Markets EMEA Limited
Structured finance instruments (Execution) (PDF - 724 KB)
CSV (2 KB)
BNY Mellon Capital Markets EMEA Limited
Securitized Derivatives - Warrants and Certificate Derivatives (Transmission) (PDF - 725 KB)
CSV (1 KB)
BNY Mellon Capital Markets EMEA Limited
Securitized Derivatives - Warrants and Certificate Derivatives  (Execution) (PDF - 722KB)
CSV (3 KB)
BNY Mellon Capital Markets EMEA Limited
Securitized Derivatives - Other securitized derivatives (Transmission) (PDF - 728 KB)
CSV (1 KB)
BNY Mellon Capital Markets EMEA Limited
Exchange traded products (Exchange traded funds, exchange traded notes and exchange traded commodities) (Transmission) (PDF - 729 KB)
CSV (2 KB)
BNY Mellon Capital Markets EMEA Limited
Exchange traded products (Exchange traded funds, exchange traded notes and exchange traded commodities) (Execution) (PDF - 725 KB)
CSV (3 KB)
BNY Mellon Capital Markets EMEA Limited
Other instruments (Transmission) (PDF - 735 KB)
CSV (3 KB)
BNY Mellon Capital Markets EMEA Limited
Other instruments (Execution) (PDF - 728 KB)
CSV (3 KB)
BNY Mellon Capital Markets EMEA Limited
Bonds (Execution) (PDF - 741 KB)
CSV (2 KB)
BNY Mellon Capital Markets EMEA Limited
Money Market Instruments (Execution) (PDF - 742 KB)
CSV (2 KB)
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)
The Bank of New York Mellon London Branch
Currency Derivatives (Execution) (PDF - 710 KB)
CSV (1 KB)
The Bank of New York Mellon London Branch
Bonds (Execution) (PDF - 742 KB)
CSV (3 KB)
The Bank of New York Mellon London Branch
Money Market Instruments (Execution) (PDF - 741 KB)
CSV (3 KB)
The Bank of New York Mellon London Branch
Agency Securities Lending and Agency Cash Investment Securities Financing Transactions, Bonds and Money Market Instruments (PDF - 462 KB)
CSV (3 KB)

 

 

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)