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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)
Explain to the client or potential client the reasons for not recommending or trading an instrument and keep records of those reasons.
Description (German)
Dem Kunden oder potenziellen Kunden die Gründe erklären, aus denen kein Finanzinstrument empfohlen oder kein Handel beschlossen wird, und diese Gründe aufzeichnen.
Affected products/services (English)
Investment advice and portfolio management
Affected products/services (German)
Anlageberatung und Portfolioverwaltung
Checking responsibility (English)
Investment firm
Checking responsibility (German)
Wertpapierfirma
Check method (English)
Documentation and retention of reasons for not making a recommendation
Check method (German)
Dokumentation und Aufbewahrung der Gründe für die Nichtempfehlung
Withdrawn at
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