Q&A · ESMA

Recertificaciones MIFID

Rejected

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AI-generated Summary

Asked, in Spanish, what happens when staff whose MiFID knowledge and competence certification is current miss the annual refresher training, for example while on sick leave: must they redo the full course? ESMA rejected the question, so there is no answer.

Details

Reference	ESMA_QA_2247
Issuer	ESMA
Published	8 Aug 2024
Submitted	8 Aug 2024
ESMA topics	Investment advice on an independent basis

Provisions it relates to

Article 25 MiFID II · Assessment of suitability and appropriateness and reporting to clients
MiFID II
Inferred · 75%
MiFID II (whole act)
Explicit reference

Documents it refers to

Delegated actIn forceExplicit reference
Commission Delegated Directive (EU) 2017/593 of 7 April 2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to safeguarding of financial instruments and funds belonging to clients, product governance obligations and the rules applicable to the provision or reception of fees, commissions or any monetary or non-monetary benefits
European Commission · 31 Mar 2017 · EUR-Lex
AI summaryThe MiFID II Delegated Directive on safeguarding client financial instruments and funds (deposits, use of client assets, title transfer collateral, a single officer responsible, auditor reports), product governance duties for manufacturers and distributors, and inducements, including rules for independent advice, portfolio management and research. Since amended, including by Delegated Directives 2021/1269 (sustainability) and 2026/374 (research payment).