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25 February 2015 | ESMA/2015/494
Best Execution under MiFID
Peer Review Report
2Table of Contents
Contents
1 Introduction _______________________________________________________________________ 3
2 Executive Summary ________________________________________________________________ 6
3 Peer review assessment ____________________________________________________________ 9
3.1 - Overview _____________________________________________________________________ 9
3.2 - Conclusions __________________________________________________________________ 12
3.3 - Peer Review findings ___________________________________________________________ 14
A - Background information _____________________________________________________ 22 B - Organisational and general supervisory approach _________________________________ 26 C - Supervision of arrangements and policies _______________________________________ 38 D - Supervision of disclosure and consent __________________________________________ 43 E - Supervision of ability to demonstrate adherence to policy ___________________________ 45 F - Supervision of ability to monitor and review ______________________________________ 484 Identified challenges _______________________________________________________________ 52
Annex I - Self assessment questionnaire __________________________________________________ 54 Annex II MiFID provisions on best execution ______________________________________________ 69Annex III - Statements from on-site visited CAs to the MiFID Best Execution peer review report _______ 72
Date: 25 February 2015
ESMA/2015/494
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