Consultation on Guidelines on certain aspects of the MiFID II suitability requirements

Consultation on Guidelines on certain aspects of the MiFID II suitability requirements

from 13 July 2017 to 13 October 2017

Details

This paper is primarily of interest to competent authorities and firms that are subject to Directive 2014/65/EU of the European Parliament and of the Council (MiFID II). In particular, this paper is addressed to investment firms and credit institutions providing investment advice or discretionary portfolio management services. This paper is also important for consumer groups, investors and trade associations, because the guidelines seek to implement enhanced provisions to ensure investor protection, with potential impacts for anyone engaged in the dealing with or processing of financial instruments.

ESMA will consider all comments received by 13 October 2017.

 

1 RELATED DOCUMENTS
Document available for this Consultation
DateReferenceTitleDocument
13/07/2017ESMA35-43-748Consultation Paper on guidelines on certain aspects of the MiFID II suitability requirements

Responses

Operations
Activity Institution Download
Asset Management BVI
Asset Management Majedie Asset Management
Asset Management AMUNDI
Asset Management Mirova
Asset Management The Investment Association
Asset Management EFAMA
Asset Management Assogestioni
Asset Management JPMorgan Asset Management
Banking Bitkom
Banking AIPB
Banking Italian Banking Association
Banking European Banking Federation
Banking The German Banking Industry Committee
Banking European Association of Co-operative Banks
Banking Spanish Banking Association
Banking Dutch Banking Association
br2637.pdf (404.68 KB)
Banking LEADELL Pilv Law Office
Banking Austrian Federal Economic Chamber, Division Bank and Insurance
Banking European Savings and Retail Banking Group
Banking French Banking Federation
Insurance and Pension BIPAR
Insurance and Pension European Federation of Financial Advisers and Financial Intermediaries (FECIF)
Investment Services Swedish Securities Dealers Association
Investment Services ASSOSIM
sped54-10-17.pdf (713.85 KB)
Investment Services Ascosim
Investment Services ANASF - Associazione nazionale consulenti finanziari
Investment Services ASF
Others PIMFA
Others Scalable Capital GmbH
Others 2┬░ Investing Initiative
Others EC High Level Expert Group on Sustainable Finance
Others French SIF
Others WWF European Policy Office
Others AIMA
Others ShareAction
Others AMAFI
Others Nordic Financial Unions
Others BlackRock
Others UNI Europa Finance
Others NAFOP
Others V/F/I - Verband Finanzdienstleistungsinstitute e.V.
Others CFA Institute
Others Finanzplaner Forum UG
Others AFG
Others FIR - French SIF
Others ├ľsterreichischer Verband Financial Planners
Fintech Ortec Finance
Fintech moneymeets GmbH