The European Securities and Markets Authority (ESMA) has today published two final sets of guidelines aimed at enhancing the protection of investors in the EU. The guidelines relate to the provisions under the Markets in Financial Instruments Directive (MiFID) relating to the suitability of investment advice and the compliance function.

Reference: 2012/424
Section: MiFID - Investor Protection |  Press Release
Type: Press Releases
Main document: 2012-424.PDF
Style: ESMA document

ESMA/2012/387 Final Report Guidelines on certain aspects of the MiFID suitability requirements

ESMA/2012/388 Final Report Guidelines on certain aspects of the MiFID compliance function requirements