Suitability Assessment Compliance Checklist
Free
Product information
A practical self-assessment checklist covering the key areas a national competent authority examines in a firm's suitability framework. Based on MiFID II, Delegated Regulation (EU) 2017/565 and the ESMA Guidelines on Suitability (ESMA35-43-869).
8 sections, 53 audit points. Includes summary of findings table and reviewer sign-off.
Designed for compliance officers, asset managers, investment advisers and risk managers at EU-regulated investment firms providing investment advice or portfolio management.
Related reading: Inside a CySEC Suitability Thematic Review
Related training: Assessment of Suitability — CPD Course