Displaying 1351 - 1355 of 1542
ESMA_QA_1758
Topic
Suitability
10/10/2016
Subject Matter
Suitability and appropriateness
Question
Can the suitability report be made available to the client on the firm’s website, with the client receiving a notification (via email or through any other means of communication) regarding the availability of this document?
Level 1 Regulation
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries
ESMA_QA_1757
Topic
Suitability
10/10/2016
Subject Matter
Suitability and appropriateness
Question
Shall the suitability report contain the record of when the investment advice is given to the client?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
ESMA_QA_1756
Topic
Suitability
10/10/2016
Subject Matter
Suitability and appropriateness
Question
Does the suitability report only have to be provided if the investment advice leads to a transaction?
Level 1 Regulation
Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014 - Investor Protection and Intermediaries
ESMA_QA_1767
Topic
Recording of telephone conversations and electronic communications
10/10/2016
Subject Matter
Recording of telephone conversations and electronic communications
Question
Can firms charge their clients to access recordings?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
ESMA_QA_1766
Topic
Recording of telephone conversations and electronic communications
10/10/2016
Subject Matter
Recording of telephone conversations and electronic communications
Question
Which internal telephone conversations or electronic communications regarding the handling of orders and transactions need to be recorded?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries