The purpose of the Questionnaire is to provide a standardised set of questions which can be sent from investment firms to entities that may fall under the scope of MiFID II as Trading Venues (MTFs and OTFs). AFME has also published a separate questionnaire1 that can be sent by MiFID II investment firms to European equities exchanges that are in scope of MiFID II - please be aware that some questions may be repeated in this FIC document.
This Questionnaire has been developed with FIC products in mind, and has some asset class-specific questions, but may also encapsulate cross-asset considerations and be relevant for other instruments. The Questionnaire is to be sent bilaterally from investment firms to their broker/Trading Venue counterparts. The information provided in response to the Questionnaire to investment firms is strictly confidential and for the benefit of the recipient firm and its affiliates only. Furthermore, the information provided is valid at the point in time when it is provided. The liability regime for the Questionnaire is established by the Disclaimer included in Annex I, which is to be provided by the responding entity.
The Questionnaire is made available to any party to use in a Microsoft Excel format. However, in order to maintain the integrity of the document, we ask users to recognise and respect the numbering and wording of all questions.