Draft guidelines for the assessment of knowledge and competence

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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

Activity Institution Download
Others V/F/I Verband Finanzdienstleistungsinstitute e.V.
  • 12856
Investment Services ANACOFI
  • 12857
Others Société Française des Analystes Financiers
Investment Services Chamber of Brokerage Houses
  • 12859
Others Österreichischer Verband Financial Planners
  • 12860
Others Finanzplaner Forum
  • 12861
Others Finanzplaner Forum
  • 12862
Banking UNICREDIT S.p.A.
  • 12863
Asset Management Amundi
  • 12864
Others Wealth Management Association
  • 12865
Investment Services ASCOSIM
  • 12866
Finance Norway
  • 12867
Investment Services Austrian Professional Association of Financial Service Providers
  • 12868
Others European Federation of Financial Advisers and Financial Intermediaries (FECIF)
  • 12869
Banking Czech Banking Association
  • 12871
Government, Regulatory and Enforcement Organismo per la tenuta dell'Albo dei Promotori Finanziari
  • 12872
Asset Management BVI
  • 12873
Centre de formation de la profession bancaire (CFPB) - AFG Formation
  • 12874
Others SwedSec Licensiering AB AND Swedish Securities Dealers' Association
  • 12877
Asset Management Baillie Gifford
  • 12879
Dutch Securities Institute
  • 12880
Others UNI Europa Finance
  • 12881
Others European Federation of Financial Analysts Societies -EFFAS-
  • 12882
Investment Services ANASF - Associazione nazionale promotori finanziari
  • 12883
Others Bärchen
  • 12884
Others CFA INSTITUTE
  • 12885
Others Instituto Español de Analistas Financieros (IEAF)
  • 12886
Investment Services FOGAIN WORKING GROUP
  • 12887
Insurance and Pension Capita Life & Pensions Regulated Services Ltd
  • 12888
Others ASEAFI-Spanish Association of Independent Financial Advisors
  • 12889
Others Chartered Institute for Securities & Investment (CISI)
  • 12890
Investor Relations Federation of Finnish Financial Services
  • 12891
Others The Danish Bankers Association
  • 12892
Asset Management The Investment Association
  • 12894
Banking The Luxembourg Bankers' Association - The ABBL
  • 12895
Legal and Accountancy Verband unabhängiger Vermögensverwalter Deutschland e.V.
  • 12896
Banking German Banking Industry Committee
  • 12897
The Chartered Insurance Institute
  • 12898
Banking British Bankers Association
  • 12899
Asset Management ASSOCIATION FRANCAISE DE LA GESTION FINANCIERE - AFG
  • 12900
Asset Management EFAMA
  • 12901
Banking Spanish Banking Association (AEB)
  • 12902
Asset Management ASSOCIATION FRANCAISE DE LA GESTION FINANCIERE - AFG
  • 12903
Banking PORTUGUESE BANKING ASSOCIATION
  • 12904
Banking Association for Financial Markets in Europe
  • 12905
Others Dutch Investors' Association (VEB)
  • 12906
Others ASSOSIM
  • 12907
Others EUROPEAN FINANCIAL PLANNING ASSOCIATION
  • 12908
Banking Associazione Bancaria Italiana - ABI
  • 12909
Insurance and Pension Investment & Life Assurance Group Ltd
  • 12910
Others DVFA e.V.
  • 12912
Government, Regulatory and Enforcement InsureSec AB
  • 12913
Banking Dutch Banking Association
  • 12914
Others Association Française des Sociétés Financières
  • 12915
Banking Deutsche Bank
  • 12916
Banking BPCE Group
  • 12917
Others Société Française des Analystes Financiers
  • 12918
BIPAR
  • 12919
Banking Societe Generale
  • 12920
Banking European Savings and Retail Banking Group
  • 12921
Banking FEDERATION BANCAIRE FRANÇAISE
  • 12922
Investment Services ASSORETI
  • 12923
Banking Banking and Payments Federation Ireland
  • 12924
Others Financial Planning Standards Board
  • 12925
Banking Banca Patrimoni Sella & C.
  • 12926
Banking Bank of Tokyo Mitsubishi (UFJ)
  • 12927
Investment Services AMAFI - Association française des marchés financiers
  • 12928
Investment Services NAFOP - The National Association of Fee Only Planners
  • 12929
Asset Management BlackRock
  • 12930
Asset Management Assogestioni
  • 12931
Banking European Association of Co-operative Banks
  • 12932
Banking Banif - Banco Internacional do Funchal, S.A.
  • 12933
Others CNMV advisory committee
  • 12939