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Protection of Investor Interests

A directive regarding financial instrument markets, known as MiFID (Markets in Financial Instruments Directive), has been in force in the European Union already since 2007. It introduced new duties for providers of investment services to ensure better protection of the interests of customers and greater transparency of financial markets.

Since then, the financial markets and also the MiFID directive have undergone numerous changes, hence a new financial instrument market directive MiFID II (2014/65/EU) and several regulations and an additional directive for implementation of the MiFID II, as well as Markets in Financial Instruments Regulation (MiFIR), which specifically concerns the execution of transactions in financial instruments and the reporting and publishing of data connected with them, have been adopted. The new regulatory framework is in force in the European Union from 3 January 2018.

Information about LEI code

Main MiFID-related benefits to clients

With the measures in place for conflict of interest prevention, the persons whose main duties involve acting on behalf of clients are subject to tighter control, as well as undue third-party influence on the course of rendering of services is prevented or restricted. An even stricter internal control system ensures compliance with requirements concerning restrictions on personal transactions of employees.

The degree of protection for clients' financial investments is higher: for instance, if the financial instruments selected by the client are transferred into a third-party holding, that party's competence and reputation, as well as the relevant country's legislation and market practice are assessed. Such an assessment is repeated on an annual basis.

Prior to provision of investment services, the client is provided with information about the bank, the exchange of information between the bank and the client, the essence of and risks attached to services, with more information about the cost of services and the protection of financial instruments and cash.

Now all clients are subject to classification, depending on the level of protection of their interests in transactions in financial instruments or investment products: retail clients, professional clients and eligible counterparties.

The procedure applied to execution of transactions, called “best execution”, ensures the best possible execution result for clients. It applies in execution of client orders and individual management of client's financial instruments.

Further information:
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