ESMA publishes final guidelines on MiFID II suitability requirements
Friday 23 September 2022 10:46
The European Securities and Markets Authority (ESMA), the EU’s Securities Markets Regulator, has published its Final Report on Guidelines on certain aspects of the MiFID II suitability requirements].
The assessment of suitability is one of the most important requirements for investor protection in the MiFID framework. It applies to the provision of any type of investment advice, whether independent or not, and to portfolio management.
The main amendments introduced to the MIFID II…