Retail client

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EBA consults on scope of its draft guidelines on connected clients

The European Banking Authority launched today a consultation focusing on the scope of its draft Guidelines on connected clients, on which it had already sought the stakeholders’ views in July 2016. In the new consultation, the EBA is proposing to extend the scope of these draft Guidelines to the remaining aspects of the Capital Requirements …

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ESMA urges better supervision of investment advice to retail clients

The European Securities and Markets Authority (ESMA) has today published a peer review on how national regulators assess compliance with MiFID’s suitability requirements when firms provide investment advice to retail clients. These requirements are designed to ensure that firms only recommend suitable investment products, based on the investor’s profile. Overall, ESMA found that while most …

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