Markets in Financial Instruments Directive II (MiFID II) 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.

 

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

 

• MiFID II - Ex-Post Disclosure Statement Guidelines

• EMEA Regulatory Information Document
  

• EMEA Systematic Internaliser status

• 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)

• 2020 MiFID II RTS 28 Reports - Professional Clients

• 2019 MiFID II RTS 28 Reports - Professional Clients

• 2018 MiFID II RTS 28 Reports – Professional Clients

• 2017 MiFID II RTS 28 Reports – Professional Clients

• 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

• Terms and Conditions for Brokerage Services provided by The Bank of New York Mellon, London Branch: The Bank of New York Mellon, London Branch Financial Instruments (excluding Derivatives) Brokerage Terms (effective 9 December 2019). These Terms & Conditions will apply to brokerage services provided by The Bank of New York Mellon, London Branch from 9 December 2019.

 

 

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 - 250 KB)	CSV (1 KB)
The Bank of New York Mellon London Branch Security Lending and Agency Cash Investment Securities Financing (PDF - 288 KB)	CSV (5 KB)
The Bank of New York Mellon, SA/NV Security Lending and Agency Cash Investment Securities Financing (PDF -  257 KB)	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)

 

 

2018 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 - 412 KB)	CSV (1 KB)
BNY Mellon Capital Markets EMEA Limited – Equities – Shares & Depositary Receipts, Tick size liquidity bands 1 and 2 (Transmission) (PDF - 412 KB)	CSV (1 KB)
BNY Mellon Capital Markets EMEA Limited Equities – Shares & Depositary Receipts, Tick size liquidity bands 3 and 4 (Transmission) (PDF - 412 KB)	CSV (1 KB)
BNY Mellon Capital Markets EMEA Limited Equities – Shares & Depositary Receipts, Tick size liquidity bands 5 and 6 (Transmission) (PDF - 412 KB)	CSV (1 KB)
BNY Mellon Capital Markets EMEA Limited Structured finance instruments (Transmission) (PDF - 411 KB)	CSV (1 KB)
BNY Mellon Capital Markets EMEA Limited Structured finance instruments (Execution) (PDF - 403 KB)	CSV (2 KB)
BNY Mellon Capital Markets EMEA Limited Securitized Derivatives - Warrants and Certificate Derivatives (Transmission) (PDF - 411 KB)	CSV (1 KB)
BNY Mellon Capital Markets EMEA Limited Securitized Derivatives - Warrants and Certificate Derivatives (Execution) (PDF - 403 KB)	CSV (2 KB)
BNY Mellon Capital Markets EMEA Limited Securitized Derivatives - Other securitized derivatives (Transmission) (PDF - 411 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 - 412 KB)	CSV (1 KB)
BNY Mellon Capital Markets EMEA Limited Exchange traded products (Exchange traded funds, exchange traded notes and exchange traded commodities) (Execution) (PDF - 404 KB)	CSV (2 KB)
BNY Mellon Capital Markets EMEA Limited Other instruments (Transmission) (PDF - 416 KB)	CSV (1 KB)
BNY Mellon Capital Markets EMEA Limited Other instruments (Execution) (PDF - 406 KB)	CSV (2 KB)
BNY Mellon Capital Markets EMEA Limited  Bonds (Execution) (PDF - 417 KB)	CSV (2 KB)
BNY Mellon Capital Markets EMEA Limited Money Market Instruments (Execution) (PDF - 419 KB)	CSV (2 KB)
The Bank of New York Mellon SA/NV Currency Derivatives (Execution) (PDF - 399 KB)	CSV (2 KB)
The Bank of New York Mellon London Branch Currency Derivatives (Execution) (PDF - 398 KB)	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 - 532 KB)	CSV (4 KB)

 

 

2017 MiFID II RTS 28 Reports – Professional Clients

FULL REPORT	TOP FIVE VENUES
The Bank of New York Mellon London Branch Currency Derivatives (Execution) (PDF - 405 KB)	CSV (1 KB)
The Bank of New York Mellon SA/NV Currency Derivatives (Execution) (PDF - 406 KB)	CSV (1 KB)
BNY Mellon Capital Markets EMEA Limited – Bonds (Execution) (PDF - 418 KB) - REVISED	CSV (1 KB) - REVISED
BNY Mellon Capital Markets EMEA Limited Money Market Instruments (Execution) (PDF - 477 KB)- REVISED	CSV (1 KB) - REVISED
BNY Mellon Capital Markets EMEA Limited Exchange Traded Products (Execution) (PDF - 459 KB)	CSV (2 KB)
BNY Mellon Capital Markets EMEA Limited Exchange Traded Products (Transmission) (PDF - 476 KB)	CSV (1 KB)
BNY Mellon Capital Markets EMEA Limited Shares & Depositary Receipts (Transmission) (PDF - 420 KB)	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 - 321 KB)	CSV (4 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)