+Article 37 3.
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Article 37 3.
Investment firms which disseminate investment research produced by another person to the public or to clients shall be exempt from complying with paragraph 1 if the following criteria are met:
(a)
the person that produces the investment research is not a member of the group to which the investment firm belongs;
(b)
the investment firm does not substantially alter the recommendations within the investment research;
(c)
the investment firm does not present the investment research as having been produced by it;
(d)
the investment firm verifies that the producer of the research is subject to requirements equivalent to the requirements under this Regulation in relation to the production of that research, or has established a policy setting such requirements.
1. Übersicht
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Regulierung |
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1.1 Referenzen
1.2 Identifizierte Anforderungen
1.3 Zugehörige Standards
2. Identifizierte Anforderungen
Anforderungen
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Anforderung |
3. Zugehörige Standards
Standards
| Quelle |
Anforderung |
- Builddate: 02.08.2022 00:00:00 -Doknr: CELEX:32017R0565
- EULAW -
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