+Articolul 42
---+Article 42 1.
---+Article 42 2.
---+Article 42 3.

Articolul 42

Cerințe suplimentare privind creditarea sau acordarea unui credit în contextul unei subscrieri sau al unui plasament

[Articolul 16 alineatul (3) și articolele 23 și 24 din Directiva 2014/65/UE]

1. Prezentare generală

,
Article 42 1.
Where any previous lending or credit to the issuer client by an investment firm, or an entity within the same group, may be repaid with the proceeds of an issue, the investment firm shall have arrangements in place to identify and prevent or manage any conflicts of interest that may arise as a result.
Article 42 2.
Where the arrangements taken to manage conflicts of interest prove insufficient to ensure that the risk of damage to the issuer client would be prevented, investment firms shall disclose to the issuer client the specific conflicts of interest that have arisen in relation to their, or group entities', activities in a capacity of credit provider, and their activities related to the securities offering.
Article 42 3.
Investment firms' conflict of interest policy shall require the sharing of information about the issuer's financial situation with group entities acting as credit providers, provided this would not breach information barriers set up by the firm to protect the interests of a client.

1.1 Referințe

1.2 Cerințe identificate

1.3 Standarde asociate

2. Cerințe identificate

Cerințe

3. Standarde asociate

Standarde
  • Builddate: 02.08.2022 00:00:00 -Doknr: CELEX:32017R0565
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