+Article 45
---+Article 45 1.
---+Article 45 2.
---+Article 45 3.
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Article 45
1. Overview
| Summary |
Regulation |
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Article 45 1.
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Investment firms shall notify new clients, and existing clients that the investment firm has newly categorised as required by Directive 2014/65/EU, of their categorisation as a retail client, a professional client or an eligible counterparty in accordance with that Directive.
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Article 45 2.
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Investment firms shall inform clients in a durable medium about any right that client has to request a different categorisation and about any limitations to the level of client protection that a different categorisation would entail.
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Article 45 3.
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Investment firms may, either on their own initiative or at the request of the client concerned treat a client in the following manner:
(a)
as a professional or retail client where that client might otherwise be classified as an eligible counterparty pursuant to Article 30(2) of Directive 2014/65/EU;
(b)
a retail client where that client that is considered a professional client pursuant to Section I of Annex II to Directive 2014/65/EU.
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1.1 References
1.2 Identified Requirements
1.3 Related Standards
2. Identified Requirements
Requirements
| Source |
Requirement |
3. Related Standards
Standards
| Source |
Requirement |
- Builddate: 02.08.2022 00:00:00 -Doknr: CELEX:32017R0565
- EULAW -
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