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Summary of Spot inspections on compliance with MiFID II suitability provisions
11 March 2021

Summary of Spot inspections on compliance with MiFID II suitability provisions

In accordance with the AMF's 2020 supervision priorities, a series of short thematic “SPOT” inspections were conducted in 2020 on the procedures for assessing the suitability of a financial instrument for the particular situation of a retail client when providing investment advisory services. These inspections took place within the framework of the provisions introduced by Directive 2014/65/EU of 15 May 2014 on markets in financial instruments (MiFID II) supplemented by Commission Delegated Regulation (EU) 2017/565 of 25 April 2016 (MiFID II DR), which came into force on 3 January 2018. The investigations covered a sample group of four investment service providers (ISPs) and covered a period ranging from 3 January 2018 to 16 March 2020 (the day before the first lockdown in France due to the health crisis).