Guidelines · ESMA
Guidelines for the assessment of knowledge and competence
Published
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ESMA guidelines (ESMA71-1154262120-153), applying from 3 January 2018, setting minimum knowledge and competence criteria for staff giving information about investment products and services and for staff giving investment advice under Article 25(1) MiFID II, including qualifications, experience and supervision of staff not yet qualified, firms' assessment and ongoing training, and publication of national criteria.
Details
| Reference | ESMA71-1154262120-153 |
|---|---|
| Issuer | ESMA |
Provisions it relates to
- Article 25 MiFID II · Assessment of suitability and appropriateness and reporting to clientsESMA rulebook