Regulatory Alerts2022-01-06
Added · Updated
ESMA Updates: Guidelines on MiFID II Appropriateness and Execution-Only Requirements
ESMA published final Guidelines on MiFID II appropriateness and execution-only requirements, clarifying obligations for investment firms regarding client information, product matching, and warning effectiveness. The document also updates Q&As on investor protection, specifying that bonds with make-whole clauses are not automatically exempt from product governance requirements. These Guidelines apply six months after publication on ESMA’s website, prompting amendments to the Conduct of Business Rulebook to incorporate the new standards.
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