SunGard: Investor Protection: The Next Focus of Automated Compliance and Surveillance Systems
The European Securities and Markets Authority (ESMA) is turning up the heat on national regulators to enforce and monitor MiFID conduct of business rules, where Article 37 of the MiFID Implementing Directive aim to ensure that firms 1) sell only suitable products to their clients and 2) feel comfortable that clients can afford them and understand the associated risks.
The latest example is ESMA opinion 2014/146, which addresses investor protection measures for the sale of complex products to
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