This paper analyzes the new role of financial advisers under MiFID 2. It distinguishes advice on 'independent basis' from that without such a qualification, focusing on the prohibition, provided by the mentioned regulation, for the same financial advisor to exercise both the consulting activities. Then some critical remarks regarding the prohibition set forth by article 53 of the E.U. Delegated Regulation April 25, 2016, follow, highlighting the inevitable limitations in the performance of the financial advisor who comes from this rule. It makes difficult to perform the professional activity in a manner consistent with the reserved nature of the same. Finally, this paper examines certain issues regarding remuneration and incentives.

La consulenza finanziaria alla luce della MiFID2: profili giuridici / DI CIOMMO, Francesco. - In: RIVISTA TRIMESTRALE DI DIRITTO DELL’ECONOMIA. - ISSN 2036-4873. - 1(2017), pp. 39-68.

La consulenza finanziaria alla luce della MiFID2: profili giuridici

DI CIOMMO, FRANCESCO
2017

Abstract

This paper analyzes the new role of financial advisers under MiFID 2. It distinguishes advice on 'independent basis' from that without such a qualification, focusing on the prohibition, provided by the mentioned regulation, for the same financial advisor to exercise both the consulting activities. Then some critical remarks regarding the prohibition set forth by article 53 of the E.U. Delegated Regulation April 25, 2016, follow, highlighting the inevitable limitations in the performance of the financial advisor who comes from this rule. It makes difficult to perform the professional activity in a manner consistent with the reserved nature of the same. Finally, this paper examines certain issues regarding remuneration and incentives.
finanza, mercati, consulenza finanziaria, MiFID, MiFID2, base indipendente, remunerazione, incentivi, trasparenza, professionista, consumatore
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Utilizza questo identificativo per citare o creare un link a questo documento: http://hdl.handle.net/11385/173582
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