This seminar provides detailed information about regulatory requirements in relation to appropriateness and suitability assessment. We cover requirements of the Investment Services Law 87/01 and corresponded delegated regulations, as well as good practices described in ESMA Q&A and ESMA Guidance’s relevant to appropriateness and suitability. The seminar includes information on the applicability of the testing to different categories of clients, services, and financial instruments, requirements for test design and test assessment logic, as well as different warnings and limitations required by the legal framework.
This seminar is useful for persons involved in the design of the appropriateness and suitability testing, compliance officer and internal auditors, as well as senior management of the CIFs or AIFM authorised to provide non-core MIFID service of discretionary portfolio management and investment advice.
Director of DELFI Corporate Services Ltd. Ms. Irina Theodoulou an FCCA and a MICA member, is also a holder of ICA International Diploma in Governance Risk & Compliance with merit, Advance Professional Competence Certificate with CySEC, ICA International Advance Certificate in Anti Money Laundering with merit, Advance Certificate in Fund Administration and EXIN Certificate in Privacy and Data Protection Foundation.
Mrs Theodoulou is the member of ICPAC, IIA (CY),with on-hands experience and skills in the industry for over 15 years, including experience in practical application and advisory work in relation to the MIFID & AML/CTF legislation for Cyprus and other jurisdictions. She also acts as appointed Internal Auditor and Compliance officer in a number of licensed brokers and fiduciary businesses in Cyprus.