Guidelines · ESMA
Guidelines on certain aspects of the MiFID II suitability requirements
Published
Read the official text on the ESMA website(opens in a new tab)Summary pending.
Details
| Reference | ESMA35-43-869 |
|---|---|
| Issuer | ESMA |
| Published | 28 May 2018 |
Provisions it relates to
- MiFID II (whole act)Explicit reference
Documents that refer to it
- Q&ARejectedExplicit reference
AI summaryAsked whether suitability questionnaires must collect information in a set order: knowledge and experience first, then financial situation and investment objectives. ESMA rejected the question, so there is no answer.
- Q&ARejectedExplicit reference
AI summaryAsked whether the presumption in Article 54(3) of the MiFID II Delegated Regulation that professional clients have the necessary knowledge and experience can ever apply, given that Article 54(6) looks to the natural person representing a legal entity. ESMA rejected the question, so there is no answer.