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.
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 available. Contact us for further information.