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New CNMV technical guide for the assessment of suitability

27/04/2022

This Legal Briefing analyse the main aspects of the Technical Guide.

Recently, the CNMV approved the Technical Guide 2/2022 for the assessment of suitability (the “Technical Guide”). The Technical Guide, which will apply to institutions that provide investment services involving financial instruments and the marketing of structured deposits, establishes the criteria, practices, methodologies and procedures that the CNMV considers appropriate for compliance with the applicable regulations in the assessment of suitability, as well as the criteria it will follow in the exercise of its supervisory function.

The entire content of the Legal Briefing can be found in the PDF.

Tags relacionadas

CNMV financial services MIFID II