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  2. ESMA - European Securities and Markets Authority
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  4. 2019
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  1. Questions and Answers on MiFID II and MiFIR investor protection and intermediaries topics (ESMA35-43-349) (updated 15 December 2023)
  2. 2 Suitability and appropriateness [Last update: 28 March 2019]
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2 Suitability and appropriateness [Last update: 28 March 2019]

Comparing proposed amendment...
Question 1 Suitability report: advice leading or not to a transaction [Last update: 10 October 2016]
Question 2 Suitability report: record of when the advice is given [Last update: 10 October 2016]
Question 3 Suitability report: availability on firm's website [Last update: 28 March 2019]
Question 4 Suitability report: provision to the client together with the report due when carrying out an order on behalf of a client other than for portfolio management [Last update: 10 October 2016]
Question 5 Suitability report: advice not to buy or sell a financial instrument [Last update: 10 October 2016]
Question 6 Transactions on unsuitable products [Last update: 10 October 2016]
Question 7 Disclosure of information by the client on his/her financial situation [Last update: 10 October 2016]
Question 8 Record keeping obligations related to investment advice [Last update: 16 December 2016]
Question 9 Periodic reporting of how the investment meets the client's preferences, objectives and other characteristics of the retail client [Last update: 18 December 2017]
Question 10 Suitability report: Use of generic statements [Last update: 28 March 2019]
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