MiFID II at SMBC Nikko Capital Markets Europe GmbH

The Markets in Financial Instruments Regulation (“MIFIR”) and the Markets in Financial Instruments Directive (“MIFID”), together “MIFID II”, entered into application on 3 January 2018.

MiFID II seeks to provide a European-wide legislative framework for regulating the operation of financial markets in the EU. It represents a major overhaul of the existing law, building on and extending the scope of the first Markets in Financial Instruments Directive, which originally came into force in November 2007.

In broad terms, MiFID II is concerned with the framework of trading venues/structures in which financial instruments are traded, whereas MiFIR focuses on regulating the operation of those trading venues/structures, looking to processes, systems and governance measures adopted by market participants and to their future supervision.

The Commission set out four objectives for the revised legislation:

  • strengthen investor protection
  • reduce the risks of a disorderly market
  • reduce systemic risks, and
  • increase the efficiency of financial markets and reduce unnecessary costs for participants

Below are a number of important informational and legal documents that we recommend you to read carefully.

SMBC MiFID Information Brochure.pdf
SMBC Nikko CMFRA RTS28 Summary of Monitoring 2019.pdf
SMBC Nikko CMFRA RTS28 Summary of Monitoring 2020.pdf
SMBC Nikko CMFRA RTS28 Summary of Monitoring 2021.pdf
SMBC Nikko CMFRA Top 5 Execution Venues 2019.csv
SMBC Nikko CMFRA Top 5 Execution Venues 2020.csv
SMBC Nikko CMFRA Top 5 Execution Venues 2021.csv
SMBCNIKKO CMEG RTS27 Q22019 FI.csv
SMBCNIKKO CMEG RTS27 Q32019 FI.csv
SMBCNIKKO CMFRA RTS27 Q12020 CB.csv
SMBCNIKKO CMFRA RTS27 Q12020 FI.csv
SMBCNIKKO CMFRA RTS27 Q12020 Table 5 FI CB.csv
SMBCNIKKO CMFRA RTS27 Q12021 CB.csv
SMBCNIKKO CMFRA RTS27 Q12021 FI.csv
SMBCNIKKO CMFRA RTS27 Q12021 Table 5 FI CB EQT WRT.csv
SMBCNIKKO CMFRA RTS27 Q12021 WRT.csv
SMBCNIKKO CMFRA RTS27 Q22020 CB.csv
SMBCNIKKO CMFRA RTS27 Q22020 FI.csv
SMBCNIKKO CMFRA RTS27 Q22020 Table 5 FI CB.csv
SMBCNIKKO CMFRA RTS27 Q22021 CB.csv
SMBCNIKKO CMFRA RTS27 Q22021 FI.csv
SMBCNIKKO CMFRA RTS27 Q22021 Table 5 FI CB EQT WRT.csv
SMBCNIKKO CMFRA RTS27 Q22021 WRT.csv
SMBCNIKKO CMFRA RTS27 Q32020 CB.csv
SMBCNIKKO CMFRA RTS27 Q32020 FI.csv
SMBCNIKKO CMFRA RTS27 Q32020 Table 5 FI CB EQT WRT.csv
SMBCNIKKO CMFRA RTS27 Q32021 CB.csv
SMBCNIKKO CMFRA RTS27 Q32021 FI.csv.csv
SMBCNIKKO CMFRA RTS27 Q32021 Table 5 FI CB EQT WRT.csv
SMBCNIKKO CMFRA RTS27 Q32021 WRT.csv
SMBCNIKKO CMFRA RTS27 Q42019 FI.csv
SMBCNIKKO CMFRA RTS27 Q42019 Table 5 FI.csv
SMBCNIKKO CMFRA RTS27 Q42020 CB.csv
SMBCNIKKO CMFRA RTS27 Q42020 EQT.csv
SMBCNIKKO CMFRA RTS27 Q42020 FI.csv
SMBCNIKKO CMFRA RTS27 Q42020 Table 5 FI CB EQT WRT.csv

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