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MiFID II: Appropriateness and Suitability Testing

MiFID II: Appropriateness and Suitability Testing

  • €80.00


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MiFID II: Appropriateness and Suitability Testing

Objective/ Aim:

This seminar provides detailed information about regulatory requirements in relation to appropriateness and suitability assessment. We cover requirements of the  Investment Services Law  87/01 and corresponded delegated regulations, as well as good practices described in ESMA  Q&A  and ESMA  Guidance’s relevant to appropriateness and suitability. The seminar includes information on the applicability of the testing to different categories of clients, services, and financial instruments, requirements for test design and test assessment logic, as well as different warnings and limitations required by the legal framework.


Participants’ Profile

This seminar is useful for persons involved in the design of the appropriateness and suitability testing, compliance officer and internal auditors, as well as senior management of the CIFs or AIFM authorised to provide non-core MIFID  service of discretionary portfolio management and investment advice.


Bundle prices for 10 CPDs and 15 CPDs available.

For corporate discounts, contact us. 


Course Summary:

Delivery Method: Online Pre-Recorded Video 

Length: 3 hours (3 CPD Credits)

Lecturer: Irina Theodoulou

    

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Tags: MiFID II, Appropriateness, Suitability testing, investment firms