Webobligation may not apply in respect of Professional Clients. 3. Suitability In the course of providing advice or in the course of providing discretionary management services, when … WebIntermediaries Supervision Department (2008-2015), building the sponsors inspection team from scratch and formulating the sponsor inspection program; Drafting the chapters of Professional Investors and Client Agreement of the Code of Conduct; Providing strategic and legal advice on interpretation of legal and regulatory requirements and handling …
Insurance Professional Standards: Suitability, Best Interest, And ...
WebWhere a natural person is represented by another natural person or where a legal person having requested treatment as professional client in accordance with Part 3 of Schedule 1 to Regulation (EU) No 600/2014 is to be considered for the suitability assessment, the … "Identifying and describing the maximum rate of commission (or equivalent)" … Webthe assessment procedures for a professional client when assessing the appropriateness of a given service or product as with a retail client, and IBUK may not be required to give … mhh hannover wikipedia
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