+Article 53 2.

Article 53 2.

An investment firm that provides investment advice on an independent basis and that focuses on certain categories or a specified range of financial instruments shall comply with the following requirements:

(a) 

the firm shall market itself in a way that is intended only to attract clients with a preference for those categories or range of financial instruments;

(b) 

the firm shall require clients to indicate that they are only interested in investing in the specified category or range of financial instruments; and

(c) 

prior to the provision of the service, the firm shall ensure that its service is appropriate for each new client on the basis that its business model matches the client's needs and objectives, and the range of financial instruments that are suitable for the client. Where this is not the case the firm shall not provide such a service to the client.

1. Übersicht

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1.1 Referenzen

1.2 Identifizierte Anforderungen

1.3 Zugehörige Standards

2. Identifizierte Anforderungen

Anforderungen

3. Zugehörige Standards

Standards