Betekenis van:
investment firm

Voorbeeldzinnen

1. the name of the investment firm;
2. the investment firm that buys the share concerned.
3. the investment firm that sells the share concerned;
4. the investment firm does not substantially alter the recommendations within the investment research;
5. If an investment firm transmits an order to another person for execution, the investment firm shall immediately record the following details after making the transmission:
6. For the purposes of applying supervision on a consolidated basis, the term ‘investment firm’ shall include third-country investment firms.
7. Conflicts of interest should be regulated only where an investment service or ancillary service is provided by an investment firm.
8. ‘relevant person’ in relation to an investment firm, means any of the following:
9. Criteria for determining whether an investment firm is a systematic internaliser
10. the service provider must protect any confidential information relating to the investment firm and its clients;
11. Information about the investment firm and its services for retail clients and potential retail clients
12. the investment firm does not provide such investment services or undertake such investment activities for, or on behalf of, retail clients;
13. the name and address of the investment firm, and the contact details necessary to enable clients to communicate effectively with the firm;
14. where the counterparty is not an investment firm, a regulated market, an MTF or an entity acting as central counterparty, it should be identified as ‘customer/client’ of the investment firm which executed the transaction.
15. These arrangements shall enable the investment firm to react adequately and sufficiently promptly to any deterioration in that creditworthiness.