FinSA - Investor Protection Beyond regulatory requirements of suitability and appropriateness

FinSA - Investor Protection Beyond regulatory requirements of suitability and appropriateness
Increasing product comparability and transparency requirements for end clients have been one of the key topics under recently revised investor protection regulations. When proposing or offering financial products, financial service providers must ensure that the recommendations are in line with the client’s investment profile and distribution rules.
Therefore, various European as well as local Swiss investor protection and product documentation rules need to be considered, particularly in terms of future developments in the area of suitability and appropriateness requirements.

In a nutshell, the following regulations are applicable and rudimentarily outlined in the next sections. The focus of this paper is to underline the areas that will most probably be put under scrutiny in the next review of the suitability and appropriateness framework.

Get the full paper here: FinSA - Investor Protection
LPA

CapTech Group

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