Suitability Assessment Compliance Checklist
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
- Sustainability Preferences in the Suitability Test: What the AMF Found
Related training:Assessment of Suitability — CPD Course
Related products
AMLR Article 10 Business-Wide Risk Assessment Workbook
Status note. This workbook reflects regulatory texts that are partly in consultation. The Final Report on the RTS under Article 40(2) AMLD was published by AMLA on 16 December 2025. The draft Guidelin
Market Abuse Compliance Checklist
A practical self-assessment checklist covering the key areas a national competent authority examines in a firm's market abuse prevention framework. Based on the Market Abuse Regulation (EU 596/2014) a
Product Governance Self-Assessment Questionnaire
A free annual distributor self-assessment template for EU-regulated investment firms, covering MiFID II product governance arrangements from governance and target market through to Board reporting.Wha
