MiFID

The European Legislation on investment services, as last contained in the Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 (Market in Financial Instruments Directive - MiFID II ) went into effect in January 2018 and, together with the relevant implementing acts, are aimed at: ensuring greater protection to investors; fortifying the efficiency and integrity of the financial markets; and creating a competitive and harmonized financial market environment in Europe.

The regulations having the greatest impact regard: 

  • the abolition of the concentration rule for trading in regulated markets
  • pre-trade and post-trade transparency standards
  • classification of retail clients, professional clients, and eligible counterparties
  • best-execution requirements
  • information on costs and charges 

The best-execution obligation requires intermediaries to take all necessary steps to obtain, when executing orders on behalf of clients, the best possible result for their clients.

IMI Corporate & Investment Banking Division seeks the best execution of client orders through Market Hub, a multi-asset, multi-market platform capable of identifying - for fixed income  instruments and equities - the best execution venue for the client, based on the information supplied by the client and the criteria of total consideration, probability of execution and speed of execution.

Assistance

Assistance

For clarification or assistance please contact:

Contacts

Documents and Information

 

ONBOARDING

With reference to the client onboarding process, please download the following documents:

TITLE
DESCRIPTION
download
Disclosure Note MiFID II

Documentation summarizing the fundamental information of the Bank, as request by art. 46 Regulation Delegated 565/17/UE

Classification of Clients

Document explaining the criteria for MiFID Client Classification

Knowledge & Experience - Legal Persons, Retail Companies

Questionnaire for Legal Persons of Companies classified "retail"

Analysis of investment objectives - legal persons/retail companies

Questionnaire for Companies classified "retail"

Analysis of investment objectives - legal persons/elective professional companies

Questionnaire for Companies classified "Professional on request"

Analysis of investment objectives - legal persons / professional customers

Questionnaire for Companies classified "Per se Professional"

Terms of Business

Principles governing the service of dealing on own account in OTC transactions for Eligible Counterparties and Professional Clients

Declaration of Consent

Statement of Consent for Eligible Counterparties

Contratto prestazione servizi d'investimento

Disciplina servizi di investimento, le posizioni contabili e il deposito titoli e strumenti finanziari a custodia e amministrazione

Information Document of the general risks and consequences of the re-use of securities in financial collateral arrangements

Information Statement in accordance with Article 15 of the Securities Financing Transactions Regulation (SFTR)

Contract Governing the Provision of Investment Advisory and dealing on own account service OTC Derivatives

Contract, specific for professional and retail clients of European branches, relating to OTC derivative transactions

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BEST EXECUTION

With reference to best execution issues, please download the following documents:

TITLE
DESCRIPTION
download
MiFID II – Best Execution – Top five execution venues and top five counterparties report Apr 22

Annual publication on the quality of execution and on the identity of the execution venues and of the counterparties

MiFID II – Best Execution – Top five execution venues and top five counterparties report Apr 21

Annual publication on the quality of execution and on the identity of the execution venues and of the counterparties

Report on the quality of execution of the transactions according to Delegated Regulation 2017/575

Quarterly report about the quality of execution of the operations concluded by Intesa Sanpaolo Systematic Internaliser (January 2021 – March 2021)

Report on the quality of execution of the transactions according to Delegated Regulation 2017/575

Quarterly report about the quality of execution of the operations concluded by Intesa Sanpaolo Systematic Internaliser (October 2020 – December 2020)

Report on the quality of execution of the transactions according to Delegated Regulation 2017/575

Quarterly report about the quality of execution of the operations concluded by Intesa Sanpaolo Systematic Internaliser (July 2020 – September 2020)

Execution and Transmission of orders strategy

Execution and Transmission of orders strategy

Commercial Policy

Policy regulating the access to quotations published by Intesa Sanpaolo as Systematic Internaliser

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COSTS AND CHARGES

MiFID II requires intermediaries to provide clear disclosure on costs and charges related to the provision of investment and ancillary services. You can find below information on costs and charges related to OTC Derivatives transactions according to the different types of underlying. 

Documents on the previous Banca IMI MiFID regulation

To view or download regulation on the previous Banca IMI.