适合性评估 是什么？
适合性评估 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 “适合性评估” Used in Practice?
MiFID II和FINRA要求投资顾问在向零售客户推荐金融工具前进行适合性评估。
Certification Exam Relevance
Who Needs to Know This Term?
- Financial Analysts
- Bankers
- Traders
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适合性评估 是什么？
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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