EU Equity pre- and post-trade transparency regulation (LBF vol. 21) 2021/9.II:9.II RMs and MTFs

EU Equity pre- and post-trade transparency regulation (LBF vol. 21) 2021/9.II

9.II RMs and MTFs

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Under MiFID II investment firms can conclude (execute) transactions in equity instruments, among other things, by trading through the systems of an RM or MTF.1 Under MiFID II the term ‘equity instruments’ include shares, depositary receipts, ETFs, certificates, and other similar financial instruments.2MiFID II subjects RMs and MTFs to equity post-trade transparency rules.3 The transactions in equity instruments of investment firms as concluded on RMs and MTFs can be published under the MiFID II equity post-trade transparency requirements for RMs and MTFs, provided that the MiFID II conditions are met. The new trading venue under MiFID II, that is – the OTF, is not subject to MiFID II equity post-trade transparency rules (see paragraph 1.5.3 below).

9.II.1 Equity post-trade transparency obligations9.II.2 Deferral of equity post-trade data publication9.II.3 Concluding remarks

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