04 April 2019

ESMA（欧州証券市場機構）、MiFID 2（第2次金融商品市場指令）の適合性規制等に関する監督上のブリーフィングの更新版を公表

This supervisory briefing covers the following topics:

• Determining situations where the appropriateness assessment is required;
• Obtaining information from clients;
• Assessment of appropriateness;
• Warnings to clients;
• Qualification of firm’s staff; and
• Record-keeping.

This supervisory briefing is aimed at competent authorities as defined in MiFID II. It also aims to give market participants indications of compliant implementation of the MiFID II appropriateness provisions. The purpose of this supervisory briefing is to promote common supervisory approaches and practices in the application of the MiFID II appropriateness rules.

Press release

Supervisory briefing

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