About Course
This training course focuses on the MiFID II requirements for the assessment of suitability, based on the detailed provisions of the ESMA Guidelines. Participants will gain a practical understanding of how investment firms must collect and evaluate information on clients’ knowledge, experience, financial situation and investment objectives, including sustainability preferences. The course also reflects insights gained from a regulatory inspection by the Cyprus Securities and Exchange Commission (CySEC),offering valuable context on supervisory expectations and compliance challenges.
The training features real life court decisions and regulatory enforcement cases that demonstrate how failures in suitability assessments can lead to significant penalties. It also includes practical examples of a suitability questionnaire and a purpose-built tool used to assess client information and allocate them to appropriate investment profiles. This course is suitable for professionals seeking to meet their annual CPD obligations while deepening their understanding of regulatory requirements and strengthening their client suitability practices.
