Regulatory Alerts2021-02-08
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ESMA Consultation on Appropriateness and Execution-Only Under MiFID II
The European Securities and Markets Authority has launched a consultation on guidelines regarding the application of appropriateness and execution-only requirements under MiFID II. The proposed guidelines adjust suitability requirements for investment firms, credit institutions, and external Alternative Investment Fund Managers providing non-advised services. Stakeholders are invited to submit comments on the consultation paper by 29 April 2021, with final guidelines expected in the third quarter of 2021.
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