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.
|13/07/2017||ESMA35-43-748||Consultation Paper on guidelines on certain aspects of the MiFID II suitability requirements||Downloadpdf, 740.94 KB|