{"id":580298,"date":"2023-12-28T03:16:45","date_gmt":"2023-12-28T03:16:45","guid":{"rendered":"https:\/\/proxyelite.info\/glossary\/mifid-markets-in-financial-instruments-directive\/"},"modified":"2023-12-28T03:16:45","modified_gmt":"2023-12-28T03:16:45","slug":"mifid-markets-in-financial-instruments-directive","status":"publish","type":"glossary","link":"https:\/\/proxyelite.info\/cn\/glossary\/mifid-markets-in-financial-instruments-directive\/","title":{"rendered":"MiFID\uff08\u91d1\u878d\u5de5\u5177\u5e02\u573a\u6307\u4ee4\uff09"},"content":{"rendered":"<h3>MiFID \u7b80\u8981\u6982\u8ff0<\/h3>\n<p>\u91d1\u878d\u5de5\u5177\u5e02\u573a\u6307\u4ee4 (MiFID) \u662f\u6b27\u76df\u7684\u4e00\u9879\u57fa\u77f3\u7acb\u6cd5\uff0c\u7528\u4e8e\u76d1\u7ba1\u63d0\u4f9b\u91d1\u878d\u5de5\u5177\uff08\u80a1\u7968\u3001\u503a\u5238\u3001\u96c6\u4f53\u6295\u8d44\u8ba1\u5212\u5355\u4f4d\u548c\u884d\u751f\u54c1\uff09\u76f8\u5173\u670d\u52a1\u7684\u516c\u53f8\u4ee5\u53ca\u8fd9\u4e9b\u5de5\u5177\u7684\u4ea4\u6613\u573a\u6240\u3002 MiFID \u7684\u4e3b\u8981\u76ee\u6807\u662f\u589e\u5f3a\u6295\u8d44\u670d\u52a1\u9886\u57df\u7684\u7ade\u4e89\u548c\u6d88\u8d39\u8005\u4fdd\u62a4\u3002<\/p>\n<h3>MiFID \u7684\u8be6\u7ec6\u89c1\u89e3<\/h3>\n<h4>\u80cc\u666f\u4e0e\u6f14\u53d8<\/h4>\n<p>MiFID \u4e8e 2007 \u5e74\u9996\u6b21\u5b9e\u65bd\uff0c\u662f\u5bf9\u91d1\u878d\u5e02\u573a\u6f14\u53d8\u548c\u6280\u672f\u53d1\u5c55\u7684\u56de\u5e94\u3002\u5b83\u65e8\u5728\u521b\u5efa\u4e00\u4e2a\u66f4\u52a0\u4e00\u4f53\u5316\u3001\u9ad8\u6548\u548c\u900f\u660e\u7684\u91d1\u878d\u5e02\u573a\uff0c\u540c\u65f6\u63d0\u4f9b\u66f4\u9ad8\u7a0b\u5ea6\u7684\u6d88\u8d39\u8005\u4fdd\u62a4\u3002 MiFID II \u4fee\u8ba2\u7248\u4e8e 2018 \u5e74 1 \u6708\u751f\u6548\uff0c\u9488\u5bf9 2008 \u5e74\u91d1\u878d\u5371\u673a\u8fdb\u4e00\u6b65\u7ec6\u5316\u4e86\u8fd9\u4e9b\u76ee\u6807\u3002<\/p>\n<h4>\u76ee\u6807\u548c\u8303\u56f4<\/h4>\n<p>\u8be5\u6307\u4ee4\u7684\u76ee\u6807\u662f\u591a\u65b9\u9762\u7684\uff1a<\/p>\n<ol>\n<li>\u534f\u8c03\u6574\u4e2a\u6b27\u6d32\u7ecf\u6d4e\u533a (EEA) \u6295\u8d44\u670d\u52a1\u7684\u76d1\u7ba1\u5236\u5ea6\u3002<\/li>\n<li>\u63d0\u9ad8\u91d1\u878d\u5e02\u573a\u7684\u900f\u660e\u5ea6\u3002<\/li>\n<li>\u901a\u8fc7\u6d88\u9664\u8de8\u5883\u8d38\u6613\u58c1\u5792\u6539\u5584\u7ade\u4e89\u3002<\/li>\n<\/ol>\n<h4>\u91cd\u70b9\u5173\u6ce8\u9886\u57df<\/h4>\n<p>MiFID \u6db5\u76d6\u51e0\u4e2a\u5173\u952e\u9886\u57df\uff1a<\/p>\n<ul>\n<li>\u6295\u8d44\u516c\u53f8\u7684\u6388\u6743\u548c\u8fd0\u8425\u89c4\u5219\u3002<\/li>\n<li>\u4ea4\u6613\u573a\u6240\u76d1\u7ba1\u3002<\/li>\n<li>\u6295\u8d44\u8005\u4fdd\u62a4\u63aa\u65bd\u3002<\/li>\n<li>\u62a5\u544a\u548c\u900f\u660e\u5ea6\u8981\u6c42\u3002<\/li>\n<\/ul>\n<h3>MiFID\u5173\u952e\u7279\u6027\u5206\u6790<\/h3>\n<p>MiFID \u7684\u4e3b\u8981\u7279\u70b9\u5305\u62ec\uff1a<\/p>\n<ul>\n<li><strong>\u6700\u4f73\u6267\u884c\uff1a<\/strong> \u516c\u53f8\u5728\u6267\u884c\u8ba2\u5355\u65f6\u5fc5\u987b\u91c7\u53d6\u4e00\u5207\u5408\u7406\u6b65\u9aa4\uff0c\u4e3a\u5ba2\u6237\u5b9e\u73b0\u6700\u4f73\u7ed3\u679c\u3002<\/li>\n<li><strong>\u5ba2\u6237\u5206\u7c7b\uff1a<\/strong> \u5ba2\u6237\u88ab\u5206\u4e3a\u96f6\u552e\u3001\u4e13\u4e1a\u6216\u5408\u683c\u7684\u4ea4\u6613\u5bf9\u624b\uff0c\u6bcf\u4e2a\u4ea4\u6613\u5bf9\u624b\u90fd\u6709\u4e0d\u540c\u7ea7\u522b\u7684\u4fdd\u62a4\u3002<\/li>\n<li><strong>\u900f\u660e\u5ea6\u8981\u6c42\uff1a<\/strong> \u63d0\u9ad8\u80a1\u6743\u548c\u975e\u80a1\u6743\u5de5\u5177\u4ea4\u6613\u524d\u548c\u4ea4\u6613\u540e\u7684\u900f\u660e\u5ea6\u3002<\/li>\n<li><strong>\u4ea7\u54c1\u6cbb\u7406\uff1a<\/strong> \u4f01\u4e1a\u5fc5\u987b\u786e\u4fdd\u91d1\u878d\u4ea7\u54c1\u7684\u8bbe\u8ba1\u80fd\u591f\u6ee1\u8db3\u7279\u5b9a\u6d88\u8d39\u8005\u7fa4\u4f53\u7684\u9700\u6c42\u5e76\u8fdb\u884c\u76f8\u5e94\u7684\u5206\u914d\u3002<\/li>\n<\/ul>\n<h3>MiFID \u7684\u7c7b\u578b<\/h3>\n<table>\n<thead>\n<tr>\n<th><strong>\u91d1\u878d\u5de5\u5177\u5e02\u573a\u6307\u4ee4<\/strong><\/th>\n<th><strong>\u91d1\u878d\u5de5\u5177\u5e02\u573a\u6307\u4ee4II<\/strong><\/th>\n<\/tr>\n<\/thead>\n<tbody>\n<tr>\n<td>2007\u5e74\u5b9e\u65bd<\/td>\n<td>2018\u5e74\u751f\u6548<\/td>\n<\/tr>\n<tr>\n<td>\u5e02\u573a\u76d1\u7ba1\u521d\u6b65\u6846\u67b6<\/td>\n<td>\u6269\u5927\u76d1\u7ba1\u8303\u56f4<\/td>\n<\/tr>\n<tr>\n<td>\u57fa\u672c\u6295\u8d44\u8005\u4fdd\u62a4<\/td>\n<td>\u52a0\u5f3a\u6295\u8d44\u8005\u4fdd\u62a4<\/td>\n<\/tr>\n<tr>\n<td>\u8303\u56f4\u548c\u6df1\u5ea6\u6709\u9650<\/td>\n<td>\u65b9\u6cd5\u5168\u9762<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n<h3>MiFID \u76f8\u5173\u7684\u7528\u9014\u3001\u95ee\u9898\u548c\u89e3\u51b3\u65b9\u6848<\/h3>\n<h4>\u7528\u9014<\/h4>\n<ul>\n<li>\u786e\u4fdd\u91d1\u878d\u5e02\u573a\u516c\u5e73\u900f\u660e\u3002<\/li>\n<li>\u901a\u8fc7\u4e25\u683c\u7684\u5408\u89c4\u6807\u51c6\u4fdd\u62a4\u6295\u8d44\u8005\u3002<\/li>\n<\/ul>\n<h4>\u95ee\u9898\u4e0e\u89e3\u51b3\u65b9\u6848<\/h4>\n<ul>\n<li><strong>\u5408\u89c4\u6027\u7684\u590d\u6742\u6027\uff1a<\/strong> \u516c\u53f8\u7ecf\u5e38\u56e0 MiFID II \u5408\u89c4\u6027\u7684\u590d\u6742\u6027\u800c\u82e6\u82e6\u6323\u624e\u3002 <strong>\u89e3\u51b3\u65b9\u6848\uff1a<\/strong> \u91c7\u7528\u5148\u8fdb\u7684\u5408\u89c4\u8f6f\u4ef6\u548c\u5de5\u5177\u3002<\/li>\n<li><strong>\u6570\u636e\u7ba1\u7406\u6311\u6218\uff1a<\/strong> \u5904\u7406\u5927\u91cf\u6570\u636e\u4ee5\u8fdb\u884c\u62a5\u544a\u3002 <strong>\u89e3\u51b3\u65b9\u6848\uff1a<\/strong> \u5b9e\u65bd\u5f3a\u5927\u7684\u6570\u636e\u7ba1\u7406\u548c\u5206\u6790\u7cfb\u7edf\u3002<\/li>\n<\/ul>\n<h3>\u4e3b\u8981\u7279\u70b9\u53ca\u6bd4\u8f83<\/h3>\n<table>\n<thead>\n<tr>\n<th><strong>\u7279\u5f81<\/strong><\/th>\n<th><strong>\u91d1\u878d\u5de5\u5177\u8bc6\u522b\u7801<\/strong><\/th>\n<th><strong>\u5176\u4ed6\u8d22\u52a1\u6307\u4ee4<\/strong><\/th>\n<\/tr>\n<\/thead>\n<tbody>\n<tr>\n<td>\u8303\u56f4<\/td>\n<td>\u5168\u9762\u7684\u5e02\u573a\u8986\u76d6<\/td>\n<td>\u901a\u5e38\u9488\u5bf9\u7279\u5b9a\u884c\u4e1a<\/td>\n<\/tr>\n<tr>\n<td>\u6295\u8d44\u8005\u4fdd\u62a4<\/td>\n<td>\u9ad8\u7684<\/td>\n<td>\u5404\u4e0d\u76f8\u540c<\/td>\n<\/tr>\n<tr>\n<td>\u900f\u660e\u5ea6\u8981\u6c42<\/td>\n<td>\u4e25\u683c<\/td>\n<td>\u4e0d\u592a\u4e25\u683c<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n<h3>\u4e0e MiFID \u76f8\u5173\u7684\u672a\u6765\u524d\u666f\u548c\u6280\u672f<\/h3>\n<p>MiFID \u7684\u672a\u6765\u8d8b\u52bf\u53ef\u80fd\u5305\u62ec\uff1a<\/p>\n<ul>\n<li>\u96c6\u6210\u4eba\u5de5\u667a\u80fd\u7b49\u5148\u8fdb\u6280\u672f\u4ee5\u5b9e\u73b0\u5408\u89c4\u6027\u548c\u76d1\u63a7\u3002<\/li>\n<li>\u6b27\u76df\u91d1\u878d\u5e02\u573a\u7684\u8fdb\u4e00\u6b65\u534f\u8c03\u3002<\/li>\n<li>\u8d8a\u6765\u8d8a\u5173\u6ce8\u53ef\u6301\u7eed\u91d1\u878d\u548c ESG\uff08\u73af\u5883\u3001\u793e\u4f1a\u548c\u6cbb\u7406\uff09\u6807\u51c6\u3002<\/li>\n<\/ul>\n<h3>\u4e0e MiFID \u76f8\u5173\u7684\u4ee3\u7406\u670d\u52a1\u5668\u7684\u5229\u7528<\/h3>\n<p>\u4ee3\u7406\u670d\u52a1\u5668\u5728 MiFID \u73af\u5883\u4e2d\u53ef\u4ee5\u53d1\u6325\u81f3\u5173\u91cd\u8981\u7684\u4f5c\u7528\uff1a<\/p>\n<ul>\n<li>\u589e\u5f3a\u4ea4\u6613\u548c\u6570\u636e\u4f20\u8f93\u7684\u5b89\u5168\u6027\u548c\u9690\u79c1\u6027\u3002<\/li>\n<li>\u4fc3\u8fdb\u8de8\u5883\u8d38\u6613\u6cd5\u89c4\u7684\u9075\u5b88\u3002<\/li>\n<li>\u63d0\u9ad8\u9ad8\u9891\u4ea4\u6613\u7684\u901f\u5ea6\u548c\u53ef\u9760\u6027\u3002<\/li>\n<\/ul>\n<h3>\u76f8\u5173\u94fe\u63a5<\/h3>\n<p>\u6709\u5173 MiFID \u7684\u66f4\u6df1\u5165\u4fe1\u606f\uff0c\u8bf7\u8003\u8651\u8bbf\u95ee\u4ee5\u4e0b\u8d44\u6e90\uff1a<\/p>\n<ol>\n<li>\u6b27\u76df\u6cd5\u5f8b\u5b98\u65b9\u7f51\u7ad9\uff1a <a target=\"_new\" rel=\"noopener\">\u6b27\u6d32\u6cd5\u5f8b.eu<\/a><\/li>\n<li>\u91d1\u878d\u884c\u4e3a\u76d1\u7ba1\u5c40 (FCA)\uff1a <a target=\"_new\" href=\"https:\/\/www.fca.org.uk\/\" rel=\"noopener\">fca.org.uk<\/a><\/li>\n<li>Investopedia \u7684 MiFID \u6982\u8ff0\uff1a <a target=\"_new\" rel=\"noopener\">\u6295\u8d44\u767e\u79d1\u7f51<\/a><\/li>\n<\/ol>","protected":false},"featured_media":580299,"menu_order":0,"template":"","meta":{"_acf_changed":false,"inline_featured_image":false,"footnotes":""},"class_list":["post-580298","glossary","type-glossary","status-publish","has-post-thumbnail","hentry"],"acf":[],"_links":{"self":[{"href":"https:\/\/proxyelite.info\/cn\/wp-json\/wp\/v2\/glossary\/580298","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/proxyelite.info\/cn\/wp-json\/wp\/v2\/glossary"}],"about":[{"href":"https:\/\/proxyelite.info\/cn\/wp-json\/wp\/v2\/types\/glossary"}],"version-history":[{"count":0,"href":"https:\/\/proxyelite.info\/cn\/wp-json\/wp\/v2\/glossary\/580298\/revisions"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/proxyelite.info\/cn\/wp-json\/wp\/v2\/media\/580299"}],"wp:attachment":[{"href":"https:\/\/proxyelite.info\/cn\/wp-json\/wp\/v2\/media?parent=580298"}],"curies":[{"name":"\u53ef\u6e7f\u6027\u7c89\u5242","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}