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New Guidelines on Certain Aspects of The Appropriateness & Suitability Requirements
€75
Course outline:
- MIFID II: Principles of clients’ categorizations
- Procedure to re-categorize clients
- Criteria for appropriateness assessment for retail clients
- Exemptions: cases when the appropriateness test may not be carried out
- Criteria for suitability assessment for clients
- Sustainability preferences for suitability assessment
- Application of suitability testing to different types of clients
- Record –keeping requirements.
Target audience:
- Regulatory Compliance officers
- Risk managers
- Internal Auditors
- Persons employed in investment services departments
- Employees involved in development of appropriateness an/or suitability tests
- Client-facing staff
- Executives and non-Executive Directors
Expected time to complete the course:
Recorded time: 4.15 hours
Reading and Testing: 45 minutes
Presented by:
Course is prepared by DELFI CORPORATE SERVICES LTD
Instructor: Mrs. Svetlana Tutunaru, MBA, holder of CySEC Advanced Certificate – Personal Identification number CN2386, with on-hands experience and skills in the industry for over 15 years, including experience in practical application and advisory work in relation to the MIFID, MAR, AML/TF legislation in Cyprus and other jurisdictions, acts as appointed Internal Auditor or Compliance officer in number of licensed brokers and funds in Cyprus.
