+Article 9 3.

Article 9 3.

Member States shall require investment firms to analyse potential conflicts of interests each time a financial instrument is manufactured. In particular, firms shall assess whether the financial instrument creates a situation where end clients may be adversely affected if they take:

(a) 

an exposure opposite to the one previously held by the firm itself; or

(b) 

an exposure opposite to the one that the firm wants to hold after the sale of the product.

1. Visão geral

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1.1 Referências

1.2 Requisitos identificados

1.3 Normas relacionadas

2. Requisitos identificados

Requisitos

3. Normas relacionadas

Normas