+Article 55 1.
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Article 55 1.
Investment firms shall ensure that the information regarding a client's or potential client's knowledge and experience in the investment field includes the following, to the extent appropriate to the nature of the client, the nature and extent of the service to be provided and the type of product or transaction envisaged, including their complexity and the risks involved:
(a)
the types of service, transaction and financial instrument with which the client is familiar;
(b)
the nature, volume, and frequency of the client's transactions in financial instruments and the period over which they have been carried out;
(c)
the level of education, and profession or relevant former profession of the client or potential client.
1. Übersicht
| Bezeichnung |
Regulierung |
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1.1 Referenzen
1.2 Identifizierte Anforderungen
1.3 Zugehörige Standards
2. Identifizierte Anforderungen
Anforderungen
| Quelle |
Anforderung |
3. Zugehörige Standards
Standards
| Quelle |
Anforderung |
- Builddate: 02.08.2022 00:00:00 -Doknr: CELEX:32017R0565
- EULAW -
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