適合性評価とは？
適合性評価 A regulatory process by which investment firms determine if a financial product or portfolio strategy matches the investor’s risk profile, objectives, and constraints.
Source: CFA Institute, IFRS Foundation, FASB (GAAP), Basel III Framework
How is “適合性評価” Used in Practice?
MiFID IIやFINRAは、投資アドバイザーがリテール顧客に金融商品を勧める前に適合性評価を実施することを義務付けています。
Certification Exam Relevance
Who Needs to Know This Term?
- Financial Analysts
- Bankers
- Traders
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適合性評価とは？
A regulatory process by which investment firms determine if a financial product or portfolio strategy matches the investor’s risk profile, objectives, and constraints.
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