+Artikolu 39 1.

Artikolu 39 1.

Id-ditti tal-investiment għandu jkollhom fis-seħħ sistemi, kontrolli u proċeduri biex jidentifikaw u jipprevjenu jew jimmaniġġjaw kunflitti ta' interess li jirriżultaw f'rabta mal-ipprezzar baxx jew eċċessiv jew l-involviment ta' partijiet rilevanti fil-proċess. B'mod partikolari, id-ditti tal-investiment għandhom jistabbilixxu, jimplimentaw u jżommu, bħala rekwiżit minimu, arranġamenti interni biex jiżguraw dawn li ġejjin:

(a) 

li l-ipprezzar tal-offerta ma jippromwovix l-interessi ta' klijenti oħrajn jew tal-kumpanija stess, b'mod li jistgħu jkunu ta' kunflitt mal-interessi tal-klijent tal-emittent; u

(b) 

il-prevenzjoni jew ġestjoni ta' sitwazzjoni fejn il-persuni responsabbli għall-għoti tas-servizzi lill-klijenti tad-ditta tal-investiment huma direttament involuti fid-deċiżjonijiet dwar il-konsulenza finanzjarja korporattiva fuq l-ipprezzar lill-klijent tal-emittent.

1. Ħarsa ġenerali

,

1.1 Referenzi

1.2 Rekwiżiti identifikati

1.3 Standards relatati

2. Rekwiżiti identifikati

Rekwiżiti

3. Standards relatati

Standards
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