+Articolul 45
---+Article 45 1.
---+Article 45 2.
---+Article 45 3.

Articolul 45

Informații privind clasificarea clienților

[Articolul 24 alineatul (4) din Directiva 2014/65/UE]

1. Prezentare generală

,
Article 45 1.
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.
Article 45 2.
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.
Article 45 3.

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.

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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