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+Article 54 2. |
Article 54 2.Investment firms shall determine the extent of the information to be collected from clients in light of all the features of the investment advice or portfolio management services to be provided to those clients. Investment firms shall obtain from clients or potential clients such information as is necessary for the firm to understand the essential facts about the client and to have a reasonable basis for determining, giving due consideration to the nature and extent of the service provided, that the specific transaction to be recommended, or entered into in the course of providing a portfolio management service, satisfies the following criteria:
(a)
it meets the investment objectives of the client in question, including the client’s risk tolerance and any sustainability preferences;
(b)
it is such that the client is able financially to bear any related investment risks consistent with his investment objectives;
(c)
it is such that the client has the necessary experience and knowledge in order to understand the risks involved in the transaction or in the management of his portfolio. 1. Prezentare generală
1.1 Referințe1.2 Cerințe identificate1.3 Standarde asociate2. Cerințe identificate
3. Standarde asociate
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