{"release":{"id":"a4f2a0495fe55b47323883f82977a9b34ab66171ec9623e39925d3a7045b6c81","published":"2026-11-01T16:41:30Z","pinned":false},"limits":{"coverage":{"history":"current_only","held_since":"2024-08-08","gaps":[],"covered":["ESMA Q&A 2247 — Q&A — Recertificaciones MIFID [Question Rejected] L3"],"not_covered":["national guidance","court decisions"]},"freshness":{"release_id":"a4f2a0495fe55b47323883f82977a9b34ab66171ec9623e39925d3a7045b6c81","release_published":"2026-11-01T16:41:30Z","checked_at":"2026-10-26","checked_against":"the ESMA publication"},"truncation":null,"failures":[],"incomplete":[]},"page":{"path":"/mifid-ii/level-3/q-and-a/esma/esma-qa-2247-recertificaciones-mifid","url":"https://www.headlesslaw.com/mifid-ii/level-3/q-and-a/esma/esma-qa-2247-recertificaciones-mifid","title":"ESMA Q&A 2247 — Q&A — Recertificaciones MIFID [Question Rejected]","family":"l3","work_id":"spaces/mifid-ii/level-3/q-and-a/esma/esma-qa-2247-recertificaciones-mifid","status":"question rejected","force_status":null,"date_state":"current","requested_date":null,"as_of":"2026-11-01","applies_from":null,"application":null,"version_label":"ESMA Q&A register, 8 August 2024","check":{"against":"the ESMA publication","on":"2026-10-26"},"check_result":"matched","official_url":"https://www.esma.europa.eu/publications-data/questions-answers/2247","valid_from":"0001-01-01","valid_until":null,"revision":1,"content_id":"d55c0b38289d1b2b","change_date":null,"nearest_versions":["2024-08-08"],"first_text_date":null,"correction_applies":false,"versions":["2024-08-08"],"version_url":"https://www.headlesslaw.com/mifid-ii/level-3/q-and-a/esma/esma-qa-2247-recertificaciones-mifid/versions/2024-08-08","revision_url":"https://www.headlesslaw.com/mifid-ii/level-3/q-and-a/esma/esma-qa-2247-recertificaciones-mifid/versions/2024-08-08/rev/d55c0b38289d1b2b","versions_url":"https://www.headlesslaw.com/mifid-ii/level-3/q-and-a/esma/esma-qa-2247-recertificaciones-mifid/versions","relations_url":"https://www.headlesslaw.com/mifid-ii/level-3/q-and-a/esma/esma-qa-2247-recertificaciones-mifid/relations","source_line":"Question published in the ESMA Q&A tool · no answer · not legislation [Question Rejected]","attribution":{"prepared_by":"not stated in the document","published_by":"ESMA","published_in":"ESMA Q&A tool","document_type":"qa_question","legal_nature":"not_legislation","addressees":"not stated in the document","dates":{"question_submitted_on":"2024-08-08","locators":{"question_submitted_on":"ESMA Q&A Excel export ESMA_QA_2247, column 'Date of submission'"}},"adoption":null}},"provenance":{"official_url":"https://www.esma.europa.eu/publications-data/questions-answers/2247","check":{"result":"matched","checked_at":"2026-10-26","against":"the ESMA publication"},"repo_path":"spaces/mifid-ii/level-3/q-and-a/esma/esma-qa-2247-recertificaciones-mifid.md","body_sha256":"f8429a5ffa3b761cd12bb81f38a3b1d587d6e18e7fa54c81cc123e1fcb35161a"},"units":[],"markdown":"---\ntitle: \"ESMA Q&A 2247 — Q&A — Recertificaciones MIFID [Question Rejected]\"\nshortTitle: \"ESMA Q&A 2247 — Q&A — Recertificaciones MIFID [Question Rejected]\"\nanswer_id: ESMA_QA_2247\ntopic: \"Investment advice on an independent basis\"\nstatus: \"Question Rejected\"\ntype: qa\ninstrument_type: qa\nauthority: ESMA\nbinding: false\nbinding_character: non_binding\nlegal_status: withdrawn\nregulation: \"MiFID II\"\nmifid_level3: true\nmica_level2: false\nlegal_basis: \"CNMV Guía Técnica 4/2017 (Modificada diciembre 2020)\"\ndate: 8 August 2024\nsource_link: https://www.esma.europa.eu/publications-data/questions-answers/2247\nlifecycle: \"Question Rejected\"\ntext_version: \"ESMA Q&A register, 8 August 2024\"\nsource_url: \"https://www.esma.europa.eu/publications-data/questions-answers/2247\"\ncheck_status: matched\nverified: true\nlast_checked: 2026-10-26\nchecked_against: \"the ESMA publication\"\nsource:\n  prepared_by: \"not stated in the document\"\n  published_by: \"ESMA\"\n  published_in: \"ESMA Q&A tool\"\n  evidence:\n    prepared_by: \"ESMA_QA_2247\"\n    locator: \"ESMA Q&A entry ESMA_QA_2247: no answer; no author named\"\ndocument_type: \"qa_question\"\nlegal_nature: \"not_legislation\"\naddressees: \"not stated in the document\"\ndates:\n  question_submitted_on: \"2024-08-08\"\n  locators:\n    question_submitted_on: \"ESMA Q&A Excel export ESMA_QA_2247, column 'Date of submission'\"\nlifecycle_label: \"Question Rejected\"\n---\n\n**Question published in the ESMA Q&A tool · no answer · not legislation [Question Rejected]**\n\n*Question Rejected · ESMA Q&A register, 8 August 2024 · Checked against the ESMA publication on 26 Oct 2026 · [Official source](https://www.esma.europa.eu/publications-data/questions-answers/2247)*\n\n| | |\n|---|---|\n| **Full title** | ESMA Q&A 2247 — Q&A — Recertificaciones MIFID \\[Question Rejected\\] |\n| **Prepared by** | Not stated in the document |\n| **Published by** | ESMA, in the ESMA Q&A tool |\n| **Reference** | ESMA_QA_2247 |\n| **Document type** | Q&A |\n| **Legal nature** | No answer · not legislation |\n| **Addressees** | Not stated in the document |\n| **Dates** | Question submitted 8 August 2024 |\n| **Legal basis** | CNMV Guía Técnica 4/2017 (Modificada diciembre 2020) |\n| **Related instruments** | None recorded |\n| **Text on this page** | Word for word — the full text of the ESMA publication |\n\n**Recertificaciones MIFID**\n\n### Question\n\nQue ocurre cuando el personal que trabaja en una entidad financiera con su certificado de Mifid en vigor durante un año no realiza los cursos de formación para renovar dicha certificación. Por ejemplo porque se encuentre en situación de baja laboral. Dicho empleado/a debe con posterioridad realizar el curso completo o debe simplemente recertificarse con los cursos de formación anual.\n\nLa Guía de la ESMA 2015/1886 no dice nada al respecto sobre la \"caducidad\" y el art. 21.d) del Reglamento 2017/565 sobre MIFID II establecen que el personal deben tener los conocimientos y competencias adecuados, pero ninguna normativa habla de lo que sucede si no se cumplen las horas de formación continua.\n\n***\n\n**Source:** [ESMA original document](https://www.esma.europa.eu/publications-data/questions-answers/2247)\n"}