Legislation applicable to MiFID Investment Firms

Key legislation relevant to the regulation of MiFID Investment Firms is listed below. Where the links provided are to www.irishstatutebook.ie, users should note the disclaimer on the Irish Statute Book website. Where the links provided are to https://eur-lex.europa.eu/, users should note the disclaimer on the EUR-Lex website.  In particular, it is important that all users check whether any amendments have been made to the legislation that they are consulting and to consult the consolidated version of the relevant legislation where available.

The following list is not exhaustive and is intended to serve as a general guide only.


Statutory Instruments

EU Legislation

MiFID Investment Firms referred to in Article 1(2) or Article 1(5) of the Investment Firms Regulation should refer to the prudential requirements under the Capital Requirements Regulation and Capital Requirements Directive IV.

European Commission and European Supervisory Authorities

Firms are advised to consult the European Commission, ESMA and EBA websites for details of Level 2 measures/technical standards and Level 3 guidance.