Draft guidelines for the assessment of knowledge and competence

Draft guidelines for the assessment of knowledge and competence

from 23 April 2015 to 10 July 2015

Details

Responding to this paper
ESMA invites stakeholders to provide information on all matters in this paper and in particular on the specific questions summarised in Annex 1. Responses are most helpful if they:

• respond to the question stated;

• indicate the specific question to which the comment relates;

• contain a clear rationale; and

• describe any alternatives ESMA should consider.

ESMA will consider all comments received by 10 July 2015.

All contributions should be submitted online at www.esma.europa.eu under the heading ‘Your input - Consultations’.

Publication of responses

All contributions received will be published following the close of the consultation, unless you request otherwise. Please clearly and prominently indicate in your submission any part you do not wish to be publically disclosed. A standard confidentiality statement in an email message will not be treated as a request for non-disclosure. A confidential response may be requested from us in accordance with ESMA’s rules on access to documents. We may consult you if we receive such a request. Any decision we make not to disclose the response is reviewable by ESMA’s Board of Appeal and the European Ombudsman.

Data protection

Information on data protection can be found at www.esma.europa.eu under the heading Legal Notice.

Who should read this paper

This paper is primarily of interest to competent authorities and firms that are subject to MiFID, in particular, investment firms and credit institutions performing investment services and activities and their staff. This paper is also important for trade associations, investors, and consumer groups, 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

1 RELATED DOCUMENTS
Document available for this Consultation
DateReferenceTitleDocument
23/04/20152015/753Draft guidelines for the assessment of knowledge and competence

Responses

Operations
Activity Institution Download
Centre de formation de la profession bancaire (CFPB) - AFG Formation
BIPAR
Finance Norway
Asset Management BVI
Asset Management The Investment Association
esma-2015-753.pdf (196.51 KB)
Asset Management Baillie Gifford
Asset Management BlackRock
Asset Management Assogestioni
Asset Management ASSOCIATION FRANCAISE DE LA GESTION FINANCIERE - AFG
Asset Management Amundi
Asset Management EFAMA
Asset Management ASSOCIATION FRANCAISE DE LA GESTION FINANCIERE - AFG
Banking Associazione Bancaria Italiana - ABI
Banking Banca Patrimoni Sella & C.
Banking Bank of Tokyo Mitsubishi (UFJ)
Banking The Luxembourg Bankers' Association - The ABBL
Banking German Banking Industry Committee
Banking Dutch Banking Association
Banking British Bankers Association
Banking Deutsche Bank
Banking European Association of Co-operative Banks
Banking UNICREDIT S.p.A.
Banking BPCE Group
Banking Banif - Banco Internacional do Funchal, S.A.
Banking Spanish Banking Association (AEB)
Banking Societe Generale
Banking PORTUGUESE BANKING ASSOCIATION
Banking European Savings and Retail Banking Group
Banking Association for Financial Markets in Europe
Banking FEDERATION BANCAIRE FRANÇAISE
Banking Czech Banking Association
Banking Banking and Payments Federation Ireland
Government, Regulatory and Enforcement InsureSec AB
Government, Regulatory and Enforcement Organismo per la tenuta dell'Albo dei Promotori Finanziari
Insurance and Pension Investment & Life Assurance Group Ltd
Insurance and Pension Capita Life & Pensions Regulated Services Ltd
Investment Services ANACOFI
Investment Services AMAFI - Association française des marchés financiers
Investment Services Chamber of Brokerage Houses
Investment Services NAFOP - The National Association of Fee Only Planners
Investment Services ANASF - Associazione nazionale promotori finanziari
Investment Services ASCOSIM
Investment Services FOGAIN WORKING GROUP
Investment Services Austrian Professional Association of Financial Service Providers
Investment Services ASSORETI
Investor Relations Federation of Finnish Financial Services
Legal and Accountancy Verband unabhängiger Vermögensverwalter Deutschland e.V.
Others V/F/I Verband Finanzdienstleistungsinstitute e.V.
Others The Danish Bankers Association
Others Société Française des Analystes Financiers
Others SwedSec Licensiering AB AND Swedish Securities Dealers' Association
Others DVFA e.V.
Others Österreichischer Verband Financial Planners
Others Finanzplaner Forum
Others UNI Europa Finance
Others Association Française des Sociétés Financières
Others Finanzplaner Forum
Others European Federation of Financial Analysts Societies -EFFAS-
Others Bärchen
Others Société Française des Analystes Financiers
Others CNMV advisory committee
Others Wealth Management Association
Others CFA INSTITUTE
Others Instituto Español de Analistas Financieros (IEAF)
Others European Federation of Financial Advisers and Financial Intermediaries (FECIF)
Others ASEAFI-Spanish Association of Independent Financial Advisors
Others Dutch Investors' Association (VEB)
Others Chartered Institute for Securities & Investment (CISI)
Others ASSOSIM
Others EUROPEAN FINANCIAL PLANNING ASSOCIATION
Others Financial Planning Standards Board
Insurance, pension & asset management The Chartered Insurance Institute
Government regulatory & enforcement Dutch Securities Institute