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Guía Técnica 4/2017 de la CNMV para la evaluación de los conocimientos y competencias del personal que informa y que asesora - Despacho de abogados Gómez-Acebo & Pombo
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Guía Técnica 4/2017 de la CNMV para la evaluación de los conocimientos y competencias del personal que informa y que asesora

icon 1 de agosto, 2017
La presente nota ofrece un resumen de los puntos clave de la Guía Técnica 4/2017 de la Comisión Nacional del Mercado de Valores, de fecha 27 de junio del 2017, que describe cómo las instituciones financieras sujetas a su supervisión deben gestionar la formación de su personal.

1. Introducción

Por medio del artículo 193 de la Ley de Mercado de Valores —que es trasposición del artículo 13.2 de la Directiva 2004/39 (MiFID1)— y la Circular 1/2014 de la Comisión Nacional del Mercado de Valores (CNMV), el legislador y las autoridades competentes, respectivamente, han venido requiriendo la formación del personal de las entidades financieras para garantizar que éste actúe de forma honesta, imparcial y profesional en el mejor interés de los clientes…

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Guía Técnica 4/2017 de la CNMV para la evaluación de los conocimientos y competencias del personal que informa y que asesora

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Autor/es

Tipología

Análisis

Áreas y sectores

Bancario y Financiero