Assessment of Implementation in EU Member States of MiFID II Requirements on Knowledge and Competence

30 Pages Posted: 30 May 2019

See all articles by Fernando Zunzunegui

Fernando Zunzunegui

Universidad Carlos III de Madrid - Faculty of Social Sciences and Law

Paloma Corbal

affiliation not provided to SSRN

Date Written: July 2018

Abstract

This report analyses divergencies in the implementation in EU Member States of ESMA Guidelines for the assessment of knowledge and competence, issued in December 2015 (ESMA 2015/1886). We have reviewed Member States MiFID II transposition rules on knowledge and competence requirements and have drawn some conclusions and proposals with the aim of enhancing regulatory and supervisory convergence.

Keywords: MiFID II, ESMA, knowledge, competence, qualification, training, investment advice, information, financial instruments, financial services

JEL Classification: G15, G18, G21, G28, G32, G28, K22

Suggested Citation

Zunzunegui, Fernando and Corbal, Paloma, Assessment of Implementation in EU Member States of MiFID II Requirements on Knowledge and Competence (July 2018). Available at SSRN: https://ssrn.com/abstract=3384628 or http://dx.doi.org/10.2139/ssrn.3384628

Fernando Zunzunegui (Contact Author)

Universidad Carlos III de Madrid - Faculty of Social Sciences and Law ( email )

Getafe (Madrid), 28903
Spain

Paloma Corbal

affiliation not provided to SSRN

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