Filed under Europe MiFID II / MiFIR Retail

Caveat emptor

Posted by on Tuesday, May 10, 2011 · Leave a Comment 

Anne PlestedThe next in my series of PMQs looks at Investor Protection and Provision of Investment Services, covered in the EC’s Public Consultation paper on the Review of MiFID.

Regulators and market participants have raised concerns about investor protection and the EC is considering revisions in this area. Have you been sold unsuitable investments? Do you fully appreciate the risks of dabbling in complex products?

Click here to read a summary of the revisions proposed and my views on how this will impact buy-side firms and retail brokers.

If you have your own views on this topic, please share them by leaving a comment!

Coming soon on PMQs: Review of the concluding sections of the consultation paper – further convergence of the regulatory framework and supervisory practices.

Do you think the provision of investment services needs greater regulation under MiFID II?

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