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Anjum Shabbir
7th February 2020
Banking & Finance

Investor protection: MiFID suitability assessment rules for the provision of investment advice or in portfolio management

Investment firms providing investment advice or portfolio management have to provide suitable personal recommendations to their clients or have to make suitable investment decisions on behalf of their clients. In this context, the EU’s securities market regulator (European Securities and Markets Authority) is to carry out a common supervisory action with national competition authorities. It will be conducted this year, and will look at how MiFID II suitability assessment rules, which apply when investment advice or portfolio management is being offered as a service, apply across the EU. The aims, broadly, are to:

Track progress in applying those rules, Analyse whether and how the costs of investment products are taken into account b

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