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MiFID II Delegated Regulation on Sustainability Preferences
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Title (English)
Title (German)
Kind
Approval
Due Diligence
Governance
Other
Record Keeping
Reporting
Stakeholder Engagement
Frequency
Annual
Biennial
Continuous
Event-triggered
Monthly
One-time
Other
Quarterly
Weekly
Check frequency
Annual
Biennial
Continuous
Event-triggered
Monthly
One-time
Other
Quarterly
Weekly
Rule set
Regulation-wide (no rule set)
Investment firms
Complexity (0–5)
Business functions
Communications
Compliance
Executive
Finance
Human Resources
Legal
Operations
Other
Procurement
Product
Sales
Sustainability
Description (English)
Do not recommend financial instruments or decide to trade them as meeting the client's or potential client's sustainability preferences when they do not meet those preferences.
Description (German)
Keine Finanzinstrumente empfehlen oder deren Handel beschließen, wenn sie die Nachhaltigkeitspräferenzen des Kunden oder potenziellen Kunden nicht erfüllen.
Affected products/services (English)
Financial instruments recommended or traded by the investment firm
Affected products/services (German)
Von der Wertpapierfirma empfohlene oder gehandelte Finanzinstrumente
Checking responsibility (English)
Investment firm
Checking responsibility (German)
Wertpapierfirma
Check method (English)
Suitability assessment against the client's sustainability preferences
Check method (German)
Eignungsprüfung anhand der Nachhaltigkeitspräferenzen des Kunden
Withdrawn at
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