Guidelines · ESMA
Guidelines On certain aspects of the MiFID II appropriateness and execution-only requirements
Published
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ESMA guidelines of April 2022 (ESMA35-43-3006) on the appropriateness assessment and execution-only services under Article 25(3) and (4) MiFID II, covering information to clients, collecting and checking information on knowledge and experience, warnings when a product is inappropriate, the conditions for execution-only, staff training and record keeping; they apply six months after publication in all EU languages.
Details
| Reference | ESMA35-43-3006 |
|---|---|
| Issuer | ESMA |
Provisions it relates to
- Article 16 MiFID II · Organisational requirementsESMA rulebook
- Article 24 MiFID II · General principles and information to clientsESMA rulebook
- Article 25 MiFID II · Assessment of suitability and appropriateness and reporting to clientsESMA rulebook